Frank H. Black
Professional summary
Frank Harmon Black, who also goes by Frank Harmon Black Jr, is a registered financial professional 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, Series 53, Series 24, Series 28 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Harmon Black's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2024 - Present
SOUTHEAST INVESTMENTS, N.C., INC.
Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217July 1, 1997 - May 23, 2019
SOUTHEAST INVESTMENTS, N.C., INC.
January 15, 1997 - July 30, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 27, 1990 - December 31, 1996
ROBERT THOMAS SECURITIES, INC
August 22, 1988 - July 2, 1990
A. G. EDWARDS & SONS, INC.
March 28, 1980 - August 18, 1988
J.C. BRADFORD & CO.
August 21, 1978 - May 14, 1980
E. F. HUTTON & COMPANY INC
March 24, 1971 - September 28, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/11/2024)
Exams
Series 99TO
Date: 2/14/2024
Operations Professional ExaminationSeries 52TO
Date: 2/14/2024
Municipal Securities Representative ExaminationSeries 7TO
Date: 2/14/2024
General Securities Representative ExaminationSeries 5
Date: 5/4/1982
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 3/19/1971
Registered Representative ExaminationSeries 28
Date: 2/14/2024
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 10/27/1988
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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.
