Constance S. Frost
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Constance Sue Frost was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1993. Constance had worked at 10 firms and has passed the Series 65, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2012 - September 5, 2013
WALNUT STREET SECURITIES, INC.
February 1, 2012 - November 19, 2013
NEW ENGLAND SECURITIES
February 1, 2012 - November 19, 2013
MSI FINANCIAL SERVICES, INC.
February 1, 2012 - November 19, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
October 28, 2005 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
November 16, 1998 - August 10, 2005
EQUITABLE ADVISORS, LLC
November 10, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 29, 1997 - September 10, 1998
WALNUT STREET SECURITIES, INC.
January 3, 1997 - April 8, 1997
ONE ORCHARD EQUITIES, INC.
May 31, 1996 - April 8, 1997
EMPOWER FINANCIAL SERVICES, INC.
September 6, 1995 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
August 31, 1993 - August 18, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| 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.
