Clay Frankel
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.
Clay Frankel was a registered financial professional .
Clay is a previously registered financial professional and started their career in finance in 1994. Clay had worked at 4 firms and has passed the Series 63, Series 55, Series 62 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2002 - October 15, 2002
DOMESTIC SECURITIES, INC.
July 16, 2001 - November 5, 2001
DOMESTIC SECURITIES, INC.
September 27, 1994 - April 11, 1995
JOSEPHTHAL & CO., INC.
September 7, 1994 - October 21, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 7, 1994 - October 21, 1994
SIGNATOR INVESTORS, 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
Exams
Series 55
Date: 8/1/2001
Limited Representative-Equity Trader ExamSeries 62
Date: 7/14/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
DOMESTIC SECURITIES, INC.
CRD#: 34721 / SEC#: , 8-36129
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
Red Flags
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