Frank C. Rusan
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 Charles Rusan, who also goes by Frank C Rusan, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1999. Frank had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2018 - December 14, 2018
TANDEM SECURITIES, INC.
January 28, 2015 - July 28, 2016
SECURITIES AMERICA, INC.
July 13, 2011 - August 13, 2014
THE O.N. EQUITY SALES COMPANY
June 2, 2000 - July 13, 2011
NYLIFE SECURITIES LLC
January 14, 2000 - June 1, 2000
SECURITIES MANAGEMENT & RESEARCH, INC.
December 15, 1999 - December 23, 1999
WOODBURY FINANCIAL SERVICES, 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
TANDEM SECURITIES, INC.
CRD#: 140546 / SEC#: , 8-67321
Contact information
FINRA licenses (33 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
