Iain Franks
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.
Iain Franks was a registered financial professional .
Iain is a previously registered financial professional and started their career in finance in 1997. Iain had worked at 9 firms and has passed the Series 63, Series 79TO, 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
August 6, 2024 - November 3, 2025
ICR CAPITAL LLC
November 17, 2015 - March 2, 2023
COWEN AND COMPANY
August 9, 2011 - October 30, 2015
CITIZENS JMP SECURITIES, LLC
September 3, 2009 - August 1, 2011
OPPENHEIMER & CO. INC.
January 24, 2008 - January 21, 2009
PIPER SANDLER & CO.
December 6, 2004 - January 18, 2008
RBC CAPITAL MARKETS CORPORATION
September 10, 2003 - December 7, 2004
THOMAS WEISEL PARTNERS LLC
January 1, 2001 - September 11, 2003
UBS SECURITIES LLC
October 10, 1997 - October 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ICR CAPITAL LLC
CRD#: 174952 / SEC#: , 8-69583
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
