Wendell L. Frame
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.
Wendell Leo Frame JR, who also goes by Leo Frame, Wendell Leo Frame, was a registered financial professional .
Wendell is a previously registered financial professional and started their career in finance in 1981. Wendell had worked at 7 firms and has passed the Series 63, 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
November 11, 2015 - December 31, 2017
QUEST CAPITAL STRATEGIES, INC.
January 2, 1998 - November 8, 2013
QUEST CAPITAL STRATEGIES, INC.
February 18, 1993 - December 31, 1995
INNOVA SECURITIES, INC.
April 2, 1990 - May 17, 1991
ADVANTAGE CAPITAL CORPORATION
February 18, 1989 - January 24, 1990
METROPOLITAN LIFE INSURANCE COMPANY
February 18, 1989 - January 24, 1990
MSI FINANCIAL SERVICES, INC.
October 5, 1987 - December 31, 1988
FSC SECURITIES CORPORATION
June 23, 1981 - October 10, 1986
THE ROBINSON-HUMPHREY COMPANY, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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