Frank P. Vasquez
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.
Frank Peter Vasquez, who also goes by Frank Vasquez, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1993. Frank had worked at 7 firms and has passed the Series 66, Series 99TO, Series 50, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2018 - June 27, 2023
NW CAPITAL MARKETS INC.
February 14, 2015 - July 27, 2015
OXFORD CAPITAL, LLC
April 28, 2011 - February 8, 2013
VAB ADVISORS, LLC.
September 2, 2010 - February 8, 2013
VAB FINANCIAL, LLC
February 1, 2008 - October 19, 2009
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
February 28, 2006 - January 31, 2008
POPULAR SECURITIES, LLC
December 10, 1993 - November 1, 2005
J.P. MORGAN SECURITIES LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NW CAPITAL MARKETS INC.
CRD#: 17622 / SEC#: , 8-35363
Contact information
FINRA licenses (12 States and Territories)
Documents
Disclosures
| Regulatory Event | 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.
