George B. 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.
George Burt Frank, who also goes by George B Frank, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1975. George had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 53 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, 2008 - August 23, 2016
FELTL & COMPANY
July 13, 2001 - November 17, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 1, 2001 - July 18, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
January 3, 1997 - January 1, 2001
MJK CLEARING, INC.
January 13, 1976 - January 3, 1997
JM DISSOLUTION, INC.
June 27, 1975 - July 1, 1976
JURAN & MOODY CORPORATE SECURITIES INC
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
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
