Frank L. Wilson
Professional summary
Frank Lenord Wilson JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Frank had worked at 3 firms, which includes VERAVEST INVESTMENTS INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2001 - June 6, 2002
VERAVEST INVESTMENTS, INC.
April 13, 2000 - December 3, 2001
IDS LIFE INSURANCE COMPANY
April 13, 2000 - December 3, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
VERAVEST INVESTMENTS, INC.
CRD#: 3960 / SEC#: , 8-14716
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HANOVER INSURANCE GROUP | OWNER | |
| CRONIN, CHARLES FREDERICK | SECRETARY/CLERK | 4212484 |
| GAY, MARYANNE | CHIEF COMPLIANCE OFFICER | 3167171 |
| HUBER, J KENDALL | DIRECTOR | 2068417 |
| KIMBALL, SANDRA FLYNN | FINOP | 4805190 |
| MCGIVNEY, MARK CHRISTOPHER | DIRECTOR | 2788697 |
| SMITH, MARILYN T | DIRECTOR | 4662584 |
| TESTA, PAULA JEAN | PRESIDENT/CHIEF OPERATIONS OFFICER | 2554996 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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