Frank J. Zawatski
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 J. Zawatski JR, CFP® was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1999. Frank had worked at 4 firms and has passed the Series 63 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
Start date: 2004
Experience
November 2, 2017 - July 30, 2024
LEVEL 5 FINANCIAL, LLC
January 16, 2007 - December 31, 2016
FORWARD FINANCIAL PLANNING,LLC
April 27, 2004 - July 6, 2006
CATERPILLAR SECURITIES INC.
November 24, 1999 - July 16, 2002
VANGUARD MARKETING 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
Current Firm
LEVEL 5 FINANCIAL, LLC
CRD#: 283018 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 278 |
| AUM (Assets Under Management) | $ 57,940,800 |
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.
