Steven M. Frantz
Professional summary
Steven Martin Frantz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Steven had worked at 3 firms, which includes OSCAR GRUSS & SON INCORPORATED, D. H. BLAIR & CO. INC., GKN SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 1997 - June 25, 1998
OSCAR GRUSS & SON INCORPORATED
December 15, 1994 - December 20, 1996
D. H. BLAIR & CO., INC.
September 18, 1992 - November 21, 1994
GKN SECURITIES CORP.
June 10, 1992 - September 14, 1992
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OSCAR GRUSS & SON INCORPORATED
CRD#: 2091 / SEC#: , 8-22371
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 26 |
| Arbitration | 5 |
| Judgment/Lien | 13 |
Red Flags
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