Frank S. Mathis
Professional summary
Frank Steve Mathis 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 2010. Prior to being barred, Frank had worked at 6 firms, which includes FIDELITY BROKERAGE SERVICES LLC, TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, J.P. MORGAN SECURITIES LLC, STRATEGIC ADVISERS LLC, CHASE INVESTMENT SERVICES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2021 - March 22, 2021
FIDELITY BROKERAGE SERVICES LLC
January 26, 2018 - May 4, 2018
TD AMERITRADE, INC.
January 26, 2018 - May 4, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 26, 2018 - May 4, 2018
TD AMERITRADE, INC.
March 1, 2016 - January 17, 2018
J.P. MORGAN SECURITIES LLC
March 1, 2016 - January 17, 2018
J.P. MORGAN SECURITIES LLC
August 9, 2012 - February 24, 2016
STRATEGIC ADVISERS LLC
August 2, 2012 - February 23, 2016
FIDELITY BROKERAGE SERVICES LLC
October 11, 2011 - July 25, 2012
CHASE INVESTMENT SERVICES CORP.
July 5, 2010 - July 25, 2012
CHASE INVESTMENT SERVICES CORP.
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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