Frank P. Kost
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 Paul Kost was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1994. Frank had worked at 9 firms and has passed the Series 63, SIE 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
November 7, 2014 - December 3, 2015
FIS BROKERAGE & SECURITIES SERVICES LLC
July 3, 2013 - October 24, 2014
AEGIS CAPITAL CORP.
March 25, 2013 - June 17, 2013
JOHN THOMAS FINANCIAL
July 31, 2012 - January 14, 2013
LIVEVOL SECURITIES, INC.
February 15, 2008 - June 12, 2012
PENSON FINANCIAL SERVICES, INC.
November 11, 2004 - November 8, 2006
NYFIX TRANSACTION SERVICES, INC.
March 25, 1999 - November 18, 2002
BRIDGE TRADING COMPANY
November 29, 1994 - May 19, 1997
LEBENTHAL & CO., INC.
April 8, 1994 - April 22, 1994
ROYCE INVESTMENT GROUP, 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
Current Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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