Carolyn E. Frank
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.
Carolyn Elaine Frank, who also goes by Carol Frank, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 2011. Carolyn had worked at 5 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2021 - May 16, 2023
FINALIS SECURITIES LLC
September 18, 2019 - August 3, 2021
GT SECURITIES, INC.
April 16, 2015 - July 22, 2019
ALTACCESS SECURITIES COMPANY, L.P.
June 23, 2014 - January 23, 2015
GVC CAPITAL LLC
June 21, 2011 - June 19, 2014
COLORADO FINANCIAL SERVICE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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