Mark C. Frantz
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.
Mark Curtis Frantz, who also goes by Mark C Framtz, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2003. Mark had worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2019 - October 12, 2022
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
April 10, 2007 - August 8, 2017
ADVANTAGE SECURITIES LLC
December 12, 2006 - April 9, 2007
MCCLENDON, MORRISON & PARTNERS, INC.
February 7, 2005 - March 8, 2007
TERRA NOVA FINANCIAL, LLC
February 10, 2003 - February 1, 2005
PATTERSON SECURITIES, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/12/2003
Limited Representative-Equity Trader ExamCurrent Firm
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
CRD#: 104369 / SEC#: , 8-52843
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 42 |
Red Flags
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