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Frank R. Chatburn

Some features on this profile are disabled
CRD#: 4457486
FC

Professional summary

Frank Roberto Chatburn was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frank is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Frank had worked at 7 firms, which includes LATAM INVESTMENTS LLC, BISCAYNE CAPITAL, RAYMOND JAMES FINANCIAL SERVICES INC., COLONIAL BROKERAGE INC., CITICORP INVESTMENT SERVICES, WELLS FARGO CLEARING SERVICES LLC, WAMU INVESTMENTS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank Roberto Ripalda

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 17, 2009 - February 8, 2010

LATAM INVESTMENTS, LLC

BD
CRD#: 133163
MIAMI, FL
Past

May 14, 2009 - June 26, 2012

BISCAYNE CAPITAL

RIA
CRD#: 148502
KEY BISCAYNE, FL
Past

March 18, 2008 - August 15, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
MIAMI, FL
Past

September 7, 2006 - January 24, 2007

COLONIAL BROKERAGE, INC.

BD
CRD#: 111668
MIAMI BEACH, FL
Past

July 11, 2005 - September 7, 2006

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
MIAMI, FL
Past

May 14, 2002 - July 13, 2005

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 30, 2001 - February 20, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 9, 2001 - November 16, 2001

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/10/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/4/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2001
General Securities Representative Examination

Current Firm

LI
LATAM INVESTMENTS, LLC
ACOSTA FINANCIAL SERVICES, LLC | MARKWOOD CAPITAL ADVISORS, LLC | LATAM INVESTMENTS, LLC

CRD#: 133163 / SEC#: , 8-66694

BD
Terminated by SEC on 04/27/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 09/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ACOSTA, MAXIMINO JIMMY25% BUT LESS THAN 50%2526721
AGUILERA-DUQUE, ANGELICA MOREMILPRESIDENT, FINOP2533346
KONIG, MARCOSCHIEF EXECUTIVE OFFICER1722052
KONIG, VICTOR MOISESHEAD OF EQUITY TRADING3044712
LASHKARI, DARIUSCHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER3061561

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.

Company Information

LATAM INVESTMENTS, LLC

CRD#: 133163

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