Sheldon M. 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.
Sheldon Michael Frank was a registered financial advisor .
Sheldon is a previously registered financial advisor and started their career in finance in 1977. Sheldon had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2009 - December 1, 2009
CHASE INVESTMENT SERVICES CORP.
February 3, 2009 - December 1, 2009
CHASE INVESTMENT SERVICES CORP.
July 10, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
February 17, 1999 - May 2, 2009
WAMU INVESTMENTS, INC.
July 7, 1998 - October 28, 1998
ITRADEDIRECT.COM CORP
March 22, 1993 - September 25, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 14, 1992 - March 15, 1993
BARNETT INVESTMENTS, INC.
November 21, 1991 - January 1, 1992
FIRST UNION BROKERAGE SERVICES, INC.
June 8, 1988 - October 31, 1991
SOUTHEAST BANK BROKERAGE SERVICE, INC.
March 5, 1987 - January 1, 1988
RODNEY SQUARE DISTRIBUTORS, INC.
April 23, 1984 - February 20, 1988
WILMINGTON BROKERAGE SERVICES COMPANY
September 25, 1981 - October 8, 1982
ALLIED SECURITIES CORPORATION
December 9, 1980 - July 7, 1981
BARCLAY FINANCIAL CORP.
June 14, 1979 - December 28, 1980
FLEET BROKERAGE SECURITIES, INC.
March 28, 1978 - May 20, 1979
SMITH, BARNEY & CO. INCORPORATED
February 28, 1978 - March 24, 1978
MORGAN STANLEY DW INC.
July 1, 1977 - February 28, 1978
DEAN WITTER & CO. INCORPORATED
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
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
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.
