Frank A. Katona
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 A Katona 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 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
May 3, 2004 - November 2, 2004
BROOKSTREET SECURITIES CORPORATION
September 13, 2002 - May 11, 2004
FIRST SECURITIES USA, INC.
July 5, 2001 - July 12, 2002
CAPITAL SUISSE SECURITIES, INC.
December 18, 2000 - March 20, 2001
WESTERN INTERNATIONAL SECURITIES, INC.
April 5, 1999 - December 18, 2000
NORTH COAST SECURITIES CORPORATION
September 10, 1998 - May 5, 1999
TRANSGLOBAL CAPITAL CORPORATION
March 5, 1997 - September 3, 1998
WALDRON & CO., INC.
November 30, 1995 - March 6, 1997
INTERFIRST CAPITAL CORPORATION
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
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
