Frank R. Underhill Jr
Professional summary
Frank Rowlin Underhill Jr was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Frank had worked at 3 firms, which includes UNDERHILL SECURITIES CORP., VCS VENTURE SECURITIES, AMERICAN EAGLE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2009 - October 30, 2015
UNDERHILL SECURITIES CORP.
July 10, 2006 - April 5, 2007
VCS VENTURE SECURITIES
June 14, 2005 - November 23, 2005
AMERICAN EAGLE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 1/8/2007
Limited Representative-Equity Trader ExamSeries 28
Date: 8/29/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
UNDERHILL SECURITIES CORP.
CRD#: 148001 / SEC#: , 8-67949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNDERHILL JR, FRANK ROWLIN | PRESIDENT/CHIEF COMPLIANCE OFFICER/CFO/FINOP | 4970331 |
Red Flags
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