Alec C. Franks
Professional summary
Alec C Franks was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alec is a previously registered financial professional and started their career in finance in 2010. Prior to being barred, Alec had worked at 3 firms, which includes FIRST STANDARD FINANCIAL COMPANY LLC, NATIONAL SECURITIES CORPORATION, LEGEND SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2014 - April 2, 2019
FIRST STANDARD FINANCIAL COMPANY LLC
October 4, 2010 - July 24, 2012
NATIONAL SECURITIES CORPORATION
June 10, 2010 - September 30, 2010
LEGEND SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 8/9/2014
Limited Representative-Equity Trader ExamCurrent Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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