Frank Harmon Black
Professional Summary
Frank Harmon Black, who also goes by Frank Harmon Black Jr, is a registered financial advisor currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina. Frank is registered as a RR (Registered Representative) and started their career in finance in 1971. Frank has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7TO, Series 5, PC, Series 1, Series 10, Series 9, Series 4,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Frank Harmon Black Jr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.
Contact Information
Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217Phone Number
(704) 527-7873Established
North Carolina since 12/06/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
2FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/11/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Feb 2024About the Series 52TO examSeries 5 — Interest Rate Options Examination
Passed May 1982PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Mar 1971Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2024About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2024About the Series 9 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Feb 2024About the Series 28 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1988SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Frank Harmon Black's CRS (Customer Relationship Summary).
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