Frank D. Bethan
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 Daniel Bethan, who also goes by Daniel Bethan, Frank Daniel Bethan Mr., was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2001. Frank had worked at 8 firms and has passed the Series 65, Series 63, 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 1, 2017 - December 31, 2018
QUEST CAPITAL STRATEGIES, INC.
August 1, 2017 - December 31, 2018
QUEST CAPITAL STRATEGIES, INC.
August 25, 2014 - August 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
August 22, 2014 - August 8, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - September 4, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - September 4, 2014
J.P. MORGAN SECURITIES LLC
May 11, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 18, 2005 - May 2, 2009
WAMU INVESTMENTS, INC.
October 4, 2004 - September 9, 2005
QUEST CAPITAL STRATEGIES, INC.
April 26, 2004 - September 1, 2004
ALLEGISONE SECURITIES, INC.
October 28, 2003 - April 16, 2004
EDWARD JONES
May 17, 2001 - November 10, 2003
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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