Dana N. Frankfort
Professional summary
Dana Niles Frankfort was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dana is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Dana had worked at 6 firms, which includes BROOKSTREET SECURITIES CORPORATION, NATIONAL PLANNING CORPORATION, FSC SECURITIES CORPORATION, THE BOSTON GROUP, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2000 - June 4, 2007
BROOKSTREET SECURITIES CORPORATION
November 23, 1998 - March 15, 2000
NATIONAL PLANNING CORPORATION
December 3, 1996 - November 25, 1998
FSC SECURITIES CORPORATION
August 21, 1996 - September 11, 1996
THE BOSTON GROUP
March 25, 1996 - October 15, 1996
UBS FINANCIAL SERVICES INC.
June 22, 1992 - March 21, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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