Frank J. Weinand
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 James Weinand JR., who also goes by F James Weinand, Jim Weinand, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 5 firms and has passed the Series 66, 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
February 26, 2018 - August 20, 2020
J.W. COLE FINANCIAL, INC.
February 16, 2018 - August 20, 2020
J. W. COLE ADVISORS, INC.
December 21, 2005 - December 26, 2017
J. W. COLE ADVISORS, INC.
February 3, 2005 - December 26, 2017
J.W. COLE FINANCIAL, INC.
January 1, 2004 - February 10, 2005
CETERA ADVISORS LLC
November 26, 2002 - January 1, 2004
VESTAX SECURITIES CORPORATION
July 7, 2000 - December 3, 2002
C. J. M. PLANNING CORP.
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
