Frank Bardales
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 Bardales was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1995. Frank had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2002 - September 27, 2018
SUMMIT FINANCIAL RESOURCES INC
May 9, 2001 - October 29, 2018
SUMMIT EQUITIES, INC.
October 1, 2000 - May 16, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 4, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 21, 1998 - October 23, 1998
SUMMIT FINANCIAL SERVICES GROUP, INC.
June 12, 1998 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
April 25, 1995 - April 13, 1998
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1995 - April 13, 1998
MSI FINANCIAL SERVICES, 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
SUMMIT FINANCIAL RESOURCES INC
CRD#: 104990 / SEC#: 801-18223
Contact information
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.
