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Thomas H. Frankel

Some features on this profile are disabled
CRD#: 2496973
TF

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.

Thomas Harold Frankel was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 4, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 23, 2015 - July 20, 2015

TRADINGBLOCK

BD
CRD#: 128605
CHICAGO, IL
Past

April 13, 2011 - December 31, 2014

E*TRADE FUTURES LLC

BD
CRD#: 145562
CHICAGO, IL
Past

November 1, 2002 - October 15, 2010

MF GLOBAL INC.

BD
CRD#: 6731
CHICAGO, IL
Past

October 23, 2001 - May 18, 2004

MEETING STREET BROKERAGE, LLC

BD
CRD#: 34764
PALM CITY, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/20/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/22/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/19/1994
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/16/2002
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/21/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 30
Date: 9/27/1996
NFA Branch Manager Examination

Current Firm

TR
TRADINGBLOCK
AOS, INC. | TUBREAUXS WEALTH & LEGACY SOLUTIONS | TRADINGBLOCK | TRADING BLOCK | THE CUSICK GROUP | SHEIKH INVESTMENTS | MYIPO | MONEYBLOCK ASSET MANAGEMENT | MONEYBLOCK | MIDWEST CAPITAL RESOURCES, INC. | AOS, INC. DBA MONEYBLOCK

CRD#: 128605 / SEC#: , 8-66163

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
Mailing Address
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Phone number
(312) 253-0385
Established
Illinois since 06/02/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CAMBRIA HOLDINGS INC.OWNER
HEFFERNAN, THOMAS ROBERTVP5538731
HOEH, PHILLIP JOHNCCO2231877
MARTINO, GARY ANTHONYVP1458334
OGILVIE, DONAL SHANNONCOO2863275
VANDERHOOF, JOEL MICHAELPRESIDENT - INVESTMENT BANKING4152196
WALLACE, ROBERT DIRLAMCFO4606185
WICKERT, JERE THOMASCEO AND PRESIDENT2079719

Disclosures

Regulatory Event9
Arbitration3

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.

Company Information

TRADINGBLOCK

CRD#: 128605

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