Frank T. Bank
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 Tom Bank, who also goes by Frank Thomas Bank, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 9 firms and has passed the Series 63, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2011 - April 15, 2013
INDEPENDENT FINANCIAL GROUP, LLC
June 10, 2005 - February 11, 2011
QA3 FINANCIAL CORP.
March 22, 2004 - June 9, 2005
CENTAURUS FINANCIAL, INC.
June 27, 2002 - February 17, 2004
FIRST MONTAUK SECURITIES CORP.
January 30, 1997 - May 22, 2002
SOUTHERN FINANCIAL GROUP, INC.
January 8, 1993 - January 21, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 29, 1991 - January 8, 1993
F.T. BANK & ASSOCIATES, INC.
October 4, 1989 - December 5, 1991
VANGUARD CAPITAL
June 16, 1976 - October 17, 1989
MUNICICORP OF CALIFORNIA
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
