Frank J. Ingersoll
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 John Ingersoll, who also goes by Sandy Ingersoll, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1972. Frank had worked at 7 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1995 - May 23, 1995
TRAVIS MORGAN SECURITIES INC.
December 7, 1990 - October 6, 1994
GEORGE E. DULLNIG & CO.
September 26, 1986 - October 29, 1990
KNIBBE FINANCIAL GROUP, INC.
December 17, 1979 - February 12, 1982
PRESCOTT, BALL & TURBEN, INC.
January 2, 1976 - December 28, 1979
DEUTSCHE BANK SECURITIES INC.
March 9, 1973 - January 20, 1976
CIBC WORLD MARKETS CORP.
August 8, 1972 - February 15, 1973
F S SMITHERS & CO 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 1
Date: 8/3/1972
Registered Representative ExaminationCurrent Firm
TRAVIS MORGAN SECURITIES INC.
CRD#: 29088 / SEC#: , 8-44093
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
