Frank A. Lodge
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 Arthur Lodge SR, who also goes by Frank Arthur Lodge, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1997. Frank had worked at 3 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
January 4, 1999 - April 16, 1999
JWGENESIS FINANCIAL GROUP, INC
February 11, 1998 - January 4, 1999
CHATFIELD DEAN & CO., INC.
July 17, 1997 - July 18, 1997
INVESTORS ASSOCIATES, 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
JWGENESIS FINANCIAL GROUP, INC
CRD#: 38166 / SEC#: , 8-48277
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JWGENESIS FINANCIAL, INC | HOLDING COMPANY | |
| LEEDS, MARSHALL TODD | PRESIDENT, CEO | 1014569 |
| CAROTHERS, SCOTT WILLIAM | CFO | 1899247 |
| GLASER, GREGG STEVEN | EXEC VP, DIRECTOR, TREASURER | 1527784 |
| LEVITT, ROBERT WILLIAM | CCO, SROP, CROP | 2576873 |
| MARKS, JOEL ELLIOT | DIRECTOR | 1189929 |
| SCARLETT, CHARLES E | EXEC VP, SECRETARY | 2130231 |
| WEINBERG, ARNOLD NATHAN | COO | 461717 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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