Frank Tjoelker
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 Tjoelker was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1968. Frank had worked at 4 firms and has passed the Series 63, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1982 - January 14, 2009
ROYAL SECURITIES COMPANY
July 6, 1979 - September 27, 1982
PRIMUS FINANCIAL SERVICES, INC.
March 14, 1973 - July 6, 1979
SARGENT BROKERAGE CO.
January 7, 1971 - April 16, 1973
PRIMUS FINANCIAL SERVICES, INC.
August 6, 1968 - February 6, 1971
EQUITY SECURITIES CORPORATION
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 1
Date: 6/13/1968
Registered Representative ExaminationSeries 40
Date: 6/16/1977
Registered Principal ExaminationCurrent Firm
ROYAL SECURITIES COMPANY
CRD#: 10702 / SEC#: 801-110648, 8-28009
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RSC HOLDINGS, INC. | SHAREHOLDER | |
| DUMEZ, TIMOTHY VAN HAITSMA | PRESIDENT/CHIEF OPERATIONS OFFICER, CCO | 1839802 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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