Frank R. Spitznagel
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 Robert Spitznagel III, who also goes by Frank Robert Spitznagel, Rob Spitznagel, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1974. Frank had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2018 - June 25, 2024
THE COLERIDGE GROUP LLC
August 23, 2010 - January 4, 2018
MORGAN STANLEY
August 20, 2010 - January 4, 2018
MORGAN STANLEY
July 1, 2003 - August 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 27, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 7, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 16, 1983 - October 14, 1996
UBS FINANCIAL SERVICES INC.
September 1, 1978 - January 30, 1984
E. F. HUTTON & COMPANY INC
August 20, 1974 - June 10, 1976
WADDELL & REED
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 15
Date: 10/18/1985
Foreign Currency Options ExaminationSeries 5
Date: 3/27/1982
Interest Rate Options ExaminationSeries 1
Date: 8/15/1974
Registered Representative ExaminationSeries 12
Date: 10/17/1981
NYSE Branch Manager ExaminationCurrent Firm
THE COLERIDGE GROUP LLC
CRD#: 108335 / SEC#: 801-10966
Contact information
Regulatory assets under management
| Total Number of Accounts | 110 |
| AUM (Assets Under Management) | $ 38,567,387 |
Red Flags
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