Frank E. Cardell
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 Ernest Cardell, who also goes by Frank E Cardell, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1969. Frank had worked at 5 firms and has passed the Series 00 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 1986 - July 16, 1986
LCP CAPITAL CORP.
October 18, 1978 - January 15, 1987
CARDELL & ASSOCIATES, INCORPORATED
September 24, 1976 - October 8, 1978
EFC SPONSORS CORPORATION
April 8, 1974 - October 8, 1978
INDEPENDENT SECURITIES CORPORATION
June 28, 1969 - October 8, 1978
INDEPENDENT FINANCIAL PLANNERS CORPORATION
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 00
Date: 6/16/1969
General Securities Principal ExaminationCurrent Firm
LCP CAPITAL CORP.
CRD#: 14469 / SEC#: , 8-44577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HANOVER LP | OWNER | |
| LMJG LP | OWNER | |
| WESTAR CAPITAL CORP | OWNER | |
| ALIOTTA, ANTHONY JOSEPH JR | BRANCH MANAGER/DIRECTOR | 2835162 |
| ARMITAGE, RONALD DAVID | COMPLIANCE OFFICER | 7228 |
| BRODY, KEVIN PATRICK | SALES MANAGER/DIRECTOR | 1912980 |
| CUTRONE, NICHOLAS ALEXANDER | ASSISTANT BRANCH MANAGER | 2692158 |
| MURRAY, DAVID MICHAEL | ASSISTANT BRANCH MANAGER | 1870050 |
| NEWMAN, IRA BERNARD | CFO | 1242346 |
| RICCA, GREGORY EMMANUEL | BRANCH MANAGER/DIRECTOR | 2080220 |
| STOFFERS, CHARLES STEVEN | PRESIDENT/CCO | 826603 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 31 |
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.
