Frank C. Wroblewski
Professional summary
Frank Charles Wroblewski was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frank Charles Wroblewski was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2018 - February 25, 2019
NATIONAL SECURITIES CORPORATION
November 18, 2005 - February 21, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 18, 1994 - December 1, 2005
UBS FINANCIAL SERVICES INC.
September 19, 1990 - March 21, 1994
MORGAN STANLEY DW INC.
April 22, 1988 - October 3, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - April 30, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 8
Date: 8/4/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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