Chad J. Frk
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.
Chad Joseph Frk, who also goes by Chad J. Frk, was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 2005. Chad had worked at 5 firms and has passed the Series 65, Series 66, SIE 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
January 13, 2015 - January 10, 2017
STONECREST CAPITAL MARKETS, INC.
July 3, 2012 - December 10, 2014
STONECREST CAPITAL MARKETS, INC.
May 22, 2012 - November 1, 2022
KINGFISHER CAPITAL, LLC
October 26, 2010 - September 9, 2011
J.P. MORGAN SECURITIES LLC
December 19, 2007 - October 5, 2010
NORTHERN TRUST SECURITIES, INC.
December 18, 2007 - December 19, 2007
NORTHERN TRUST SECURITIES, INC.
November 9, 2005 - April 6, 2006
EQUITABLE ADVISORS, 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
STONECREST CAPITAL MARKETS, INC.
CRD#: 39616 / SEC#: , 8-48754
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
