Frank D. Vanderhoff
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 Don Vanderhoff JR was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1966. Frank had worked at 4 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2003 - January 4, 2016
ROYAL SECURITIES COMPANY
May 5, 1988 - October 31, 2003
KENT KING SECURITIES CO., INC.
March 3, 1988 - April 21, 1988
OBERWEIS SECURITIES, INC.
July 12, 1966 - November 18, 1987
H. B. SHAINE & CO., 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 1
Date: 7/8/1966
Registered Representative 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
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.
