Frank A. Tauches
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.
Frank Anthony Tauches JR, who also goes by Frank A Tauches Jr, Frank Anthony Tauches, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 24, Series 53, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2004 - October 3, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
January 3, 2002 - June 21, 2004
SANDGRAIN SECURITIES LLC
July 1, 2000 - September 6, 2000
SANDERS MORRIS LLC
March 30, 2000 - July 1, 2000
BLACKFORD SECURITIES CORP.
January 12, 1990 - March 30, 1998
CETERA WEALTH SERVICES, LLC
July 21, 1987 - January 16, 1990
INDEPENDENT FINANCIAL SECURITIES, INC.
March 13, 1986 - July 23, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
September 26, 1978 - April 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 40
Date: 10/28/1976
Registered Principal ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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