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Frank S. Isozaki

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CRD#: 255601
FI

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 Seichi Isozaki was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1970. Frank had worked at 7 firms and has passed the Series 00 exam.

top-8-questions

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

October 8, 2003 - January 21, 2004

QUINCY CASS ASSOCIATES, INCORPORATED

BD
CRD#: 686
LOS ANGELES, CA
Past

July 5, 2002 - February 10, 2004

THOMAS GREEN SECURITIES, INC.

BD
CRD#: 571
LOS ANGELES, CA
Past

April 5, 1990 - September 11, 2001

THOMAS GREEN SECURITIES, INC.

BD
CRD#: 571
LOS ANGELES, CA
Past

April 20, 1988 - April 3, 1990

GOLDEN SHAMROCK, INC.

BD
CRD#: 21793
Past

March 31, 1988 - May 19, 1988

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

BD
CRD#: 595
Past

June 20, 1977 - April 12, 1988

QUINCY CASS ASSOCIATES, INCORPORATED

BD
CRD#: 686
Past

July 11, 1975 - February 29, 1980

WILLIAM O'NEIL SECURITIES

BD
CRD#: 894
Past

August 21, 1972 - November 12, 1974

GARY, GEYER, HILL & NADELL, INC.

BD
CRD#: 5883
Past

August 26, 1970 - August 31, 1971

WEDBUSH SECURITIES INC.

BD
CRD#: 877

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

Principal/Supervisory Exam
RR
Series 00
Date: 8/14/1972
General Securities Principal Examination

Current Firm

QC
QUINCY CASS ASSOCIATES, INCORPORATED
QUINCY CASS ASSOCIATES, INC. | QUINCY CASS ASSOCIATES, INCORPORATED

CRD#: 686 / SEC#: , 8-5743

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

Main Address
11111 Santa Monica Blvd Suite 1650, Los Angeles, CA 90025
Mailing Address
11111 Santa Monica Blvd. Suite 1650, Los Angeles, CA 90025
Phone number
(310) 473-4411
Established
California since 02/14/1933
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (11 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#
MINICHIELLO, MARK CHARLESC.E.O / ROSFP / CHIEF COMPLIANCE OFFICER1863304
CHAVEZ, GUADALUPE BENITEZSHARHOLDER4524777
TERRAZAS, REBECCASHAREHOLDER4745911
RAVITZ, JO -ANSHAREHOLDER
ADAMS, DEANNA MARIACHIEF INVESTMENT OFFICER7475707
GUAY, DANIEL ROBERTCHIEF FINANCIAL OFFICER / FINOP4015808

Disclosures

Regulatory Event6
Bond1

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

QUINCY CASS ASSOCIATES, INCORPORATED

CRD#: 686

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