Frank E. Kunker
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 Earl Kunker IV, who also goes by Ted Kunker IV, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1978. Frank had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2011 - January 2, 2025
LPL FINANCIAL LLC
July 28, 2011 - January 2, 2025
LPL FINANCIAL LLC
September 29, 2008 - December 31, 2010
WADDELL & REED
December 16, 2004 - August 10, 2011
WADDELL & REED
August 15, 2003 - December 10, 2004
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 1, 2003 - August 21, 2003
WALNUT STREET SECURITIES, INC.
September 8, 2000 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
March 30, 1994 - December 31, 1998
NATHAN & LEWIS SECURITIES, INC.
April 6, 1993 - February 8, 1994
IFMG SECURITIES, INC.
March 1, 1990 - March 24, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 17, 1988 - March 20, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 20, 1982 - March 16, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 29, 1982 - June 9, 1982
OTC NET INCORPORATED
March 8, 1982 - April 26, 1982
MARSAN SECURITIES CO., INC.
February 3, 1982 - November 23, 1982
SUCCESS SECURITIES INC.
May 21, 1980 - October 6, 1981
ROSS, STEBBINS INC.
October 24, 1978 - June 11, 1980
FITTIN, CUNNINGHAM & LAUZON, INC.
July 21, 1978 - November 30, 1978
NEUBERGER SECURITIES CORP.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 12
Date: 10/1/1980
NYSE Branch Manager ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
