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Jeannette Frantz

CRD# 2641206·Registered 1995 - 2015
Previously Registered: Being a previously registered professional could mean that Jeannette 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.

Professional Summary

Jeannette Frantz, who also goes by Jeannette Iannone, was a registered financial advisor. Jeannette was a previously registered financial professional and started their career in finance 1995 - 2015. Jeannette had worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jeannette Iannone

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

AUGUSTAR DISTRIBUTORS, INC.·CRD# 41081
BD
Cincinnati, OH
March 1, 2004 - November 4, 2015
THE O.N. EQUITY SALES COMPANY·CRD# 2936
BD
Cincinnati, OH
December 3, 2001 - November 3, 2015
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
August 9, 1995 - January 16, 2001

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Current Firm

AD
AUGUSTAR DISTRIBUTORS, INC.

AUGUSTAR DISTRIBUTORS, INC. | OHIO NATIONAL EQUITIES, INC.

CRD#: 41081 / SEC#: 8-49296
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

One Financial Way, Cincinnati, OH 45242

Mailing Address

P.o. Box 237, Cincinnati, OH 45201-0371

Phone Number

(513) 797-3443

Established

Ohio since 01/17/1996

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (42 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY—
COLLINS, MATTHEW JAMESCHIEF COMPLIANCE OFFICER5069278
JACK, CLIFFORD JAMESDIRECTOR1398005
SOCOL, MARC ALLANPRESIDENT & DIRECTOR2761094

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2015About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1995About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed May 2005About the Series 26 exam

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CRS (Client Relationship Summary)

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

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