David O. Frigo
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.
David Oscar Frigo was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1980. David had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2003 - October 23, 2015
FINANCIAL PLANNING RESOURCES, INC.
November 19, 1989 - October 1, 2015
OSAIC WEALTH, INC.
September 14, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 22, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
February 22, 1980 - September 29, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 1980 - October 20, 1987
IDS LIFE INSURANCE COMPANY
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
Series 1
Date: 2/9/1980
Registered Representative ExaminationCurrent Firm
FINANCIAL PLANNING RESOURCES, INC.
CRD#: 106250 / SEC#: 801-38611
Contact information
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 9,711,901 |
Red Flags
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