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OF

Oren Franks

YORKVILLE SECURITIES
MOUNTAINSIDE, NJ 07092
Some features on this profile are disabled
CRD#: 4902717
OF

Professional summary

Oren Franks is a registered financial professional currently at YORKVILLE SECURITIES, LLC located in Mountainside, New Jersey.

Oren is registered as a RR (Registered Representative) and started their career in finance in 2025. Oren has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Oren Franks's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

April 3, 2025 - Present

YORKVILLE SECURITIES, LLC

Office #1: 1012 Springfield Ave, Mountainside, NJ 07092
BD
CRD#: 330480
MOUNTAINSIDE, NJ

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

General Industry/Product Exam
RR
Series 99TO
Date: 4/3/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2024
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 6/5/2024
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

YS
YORKVILLE SECURITIES, LLC
YORKVILLE SECURITIES, LLC

CRD#: 330480 / SEC#: , 8-71241

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
1012 Springfield Ave, Mountainside, NJ 07092
Mailing Address
1012 Springfield Ave, Mountainside, NJ 07092
Phone number
(201) 536-5110
Established
Delaware since 02/08/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
YORKVILLE BD HOLDINGS, LLCSOLE MEMBER
ANGELO, MARK ANTHONYCHAIRMAN OF BOARD OF MANAGERS2585969
BECKMAN, MATTHEW JACOBMEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING4139592
BOWMAN, TIMOTHY JOSEPHCHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, AND FINOP2247374
FRANKS, ORENCONTROLLER4902717
MARKUNAS, MICHAEL NMNGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER1832307
MCNICOLL, PATRICECO-CEO3199758
RILLO, TROY JAMESMEMBER OF BOARD OF MANAGERS; CO-CEO1726077
ROSSELLI, MICHAEL ALBERTMEMBER OF THE BOARD OF MANAGERS; CO-HEAD OF INVESTMENT BANKING7714774

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

YORKVILLE SECURITIES, LLC

CRD#: 330480Mountainside, NJ 07092

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