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FK

Frank Dermott Korth

CRD# 274126·Registered 1974 - 2013
Previously Registered: Being a previously registered professional could mean that Frank 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

Frank Dermott Korth, who also goes by Frank Korth, was a registered financial advisor. Frank was a previously registered financial professional and started their career in finance 1974 - 2013. Frank had worked at 6 firms and has passed the Series 63, Series 65, Series 7, Series 1 and Series 000 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

Frank Korth

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

52 years in the financial services industry

Current & Past Employments

ADVOCATE WEALTH SOLUTIONS·CRD# 152534
RIA
Dublin, OH
December 12, 2011 - January 11, 2013
WADDELL & REED·CRD# 866
RIA
Dublin, OH
November 4, 2009 - July 8, 2011
WADDELL & REED·CRD# 866
BD
Dublin, OH
October 28, 2009 - July 8, 2011
EULAV SECURITIES, INC.·CRD# 848
BD
New York, NY
June 8, 1989 - March 22, 1990
LEHMAN BROTHERS INC.·CRD# 7506
BD
January 19, 1982 - January 27, 1988
MORGAN STANLEY DW INC.·CRD# 7556
BD
February 24, 1978 - January 29, 1982
DEAN WITTER & CO. INCORPORATED·CRD# 6466
BD
May 9, 1974 - February 24, 1978

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Current Firm

AW
ADVOCATE WEALTH SOLUTIONS

ADVOCATE WEALTH SOLUTIONS | WEALTH SOLUTIONS GROUP | DUPONT WEALTH SOLUTIONS, LLC

CRD#: 152534
Ohio
Registered Investment Advisory firm - Ohio (1/4/2010 Approved)

Contact Information

Main Address

655 Metro Place South Suite 440, Dublin, OH 43017

Phone Number

(614) 408-0004

# of Employees

3

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

43

AUM (Assets Under Management)

$7,000,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 Feb 2010About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2001About the Series 65 exam

Series 7 — General Securities Representative Examination

Passed Oct 2009About the Series 7 exam

Series 1 — Registered Representative Examination

Passed May 1974

Series 000 — General Securities Principal Examination

Passed May 1974

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CRS (Client Relationship Summary)

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

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