Samuel A. Fraenkel
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.
Samuel Alexander Fraenkel, who also goes by Samuel Fraenkel, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2007. Samuel had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 86 and Series 87 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2013 - November 19, 2014
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
March 14, 2007 - July 10, 2008
LEHMAN BROTHERS INC.
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
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
CRD#: 28195 / SEC#: , 8-43515
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERCORE PARTNERS SERVICES EAST LLC | CORPORATION | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| FORTUNA, TERRI HUNT | CHIEF OPERATING OFFICER | 3050362 |
| HYMAN, EDWARD S JR | EXECUTIVE | 804864 |
| MYERS, CHARLES AUSTIN | EXECUTIVE | 2353275 |
| RUTITSKIY, DMITRIY | CHIEF FINANCIAL OFFICER/FINOP | 6117665 |
| SINGH, VINAYAK | EXECUTIVE | 1969533 |
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.
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