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CF

Christian Frank

PRISM FINANCIAL PRODUCTS LP
London, NW16JZ
Some features on this profile are disabled
CRD#: 6288010
CF

Professional summary

Christian Frank is a registered financial professional currently at PRISM FINANCIAL PRODUCTS LP .

Christian is registered as a RR (Registered Representative) and started their career in finance in 2014. Christian has worked at 2 firms and has passed the Series 99TO, SIE, Series 79 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christian Frank's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 24, 2021 - Present

PRISM FINANCIAL PRODUCTS LP

Office #1: The Grove 3rd Floor 248a Marylebone Road, London, NW16JZ
BD
CRD#: 306255
London,
Past

May 28, 2014 - July 6, 2016

THREE OCEAN SECURITIES LLC

BD
CRD#: 166387
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/27/2014
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/21/2020
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PRISM FINANCIAL PRODUCTS LP
PRISM FINANCIAL PRODUCTS LP

CRD#: 306255 / SEC#: , 8-70465

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
130 West 42nd Street 23rd Floor, New York, NY, 10036
Mailing Address
130 West 42nd Street 23rd Floor, New York, NY, 10036
Phone number
(646) 205-6181
Established
Delaware since 02/04/2016
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PRISMFP PARTNERS LLPLIMITED PARTNER
TAZZA USA INC.LIMITED PARTNER
FRANK, CHRISTIANFINOP/CFO6288010
MARTINS DA SILVA, DAVIDCEO2777772
MARTINS DA SILVA, KEVINCCO6068590
PRISMFP GP LLCGENERAL PARTNER

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.

Company Information

PRISM FINANCIAL PRODUCTS LP

CRD#: 306255London, NW16JZ

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