Frank M. Stoner
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.
Frank Matthew Stoner, who also goes by Frank M Stoner, Frank Stoner, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2012. Frank had worked at 4 firms and has passed the 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
October 10, 2019 - August 17, 2021
CM WEALTH ADVISORS LLC
September 10, 2015 - July 15, 2016
PNC WEALTH MANAGEMENT LLC
September 10, 2015 - July 15, 2016
PNC WEALTH MANAGEMENT LLC
June 13, 2014 - September 9, 2015
J.P. MORGAN SECURITIES LLC
June 13, 2014 - September 9, 2015
J.P. MORGAN SECURITIES LLC
August 22, 2012 - December 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2012 - December 10, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CM WEALTH ADVISORS LLC
CRD#: 119467 / SEC#: 801-62376
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
CM WEALTH ADVISORS LLC
CRD#: 119467 / SEC#: 801-62376
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 614 |
| AUM (Assets Under Management) | $ 3,404,516,891 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2024 | ||
| 09/27/2023 | ||
| 12/12/2022 |
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.
