Barret W. Frost
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.
Barret William Angelo Frost was a registered financial professional .
Barret is a previously registered financial professional and started their career in finance in 2000. Barret had worked at 5 firms and has passed the Series 66, SIE 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
April 24, 2020 - December 18, 2023
PURSHE KAPLAN STERLING INVESTMENTS
January 10, 2018 - November 4, 2019
FIDELITY BROKERAGE SERVICES LLC
April 8, 2003 - December 20, 2017
LPL FINANCIAL LLC
April 7, 2003 - December 20, 2017
LPL FINANCIAL LLC
April 19, 2002 - April 1, 2003
SECURITIES AMERICA, INC.
February 23, 2000 - April 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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