Lynne J. Frank
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.
Lynne Josefowicz Frank, who also goes by Lynne J Frank, Lynne A Josefowicz, Lynne Ann Josefowicz, was a registered financial professional .
Lynne is a previously registered financial professional and started their career in finance in 2005. Lynne had worked at 3 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2017 - September 2, 2019
UBS ASSET MANAGEMENT (US) INC.
June 12, 2013 - February 3, 2017
UBS ASSET MANAGEMENT (AMERICAS) LLC
August 30, 2012 - January 17, 2017
UBS ASSET MANAGEMENT (US) INC.
September 21, 2005 - August 10, 2012
CREDIT SUISSE SECURITIES (USA) LLC
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
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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