Frank M. Levy
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 Mark Levy, who also goes by Frank M Levy, was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 1978. Frank had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2013 - February 18, 2014
SECURITIES SERVICE NETWORK, LLC
January 12, 2007 - December 31, 2013
DIVERSIFIED, LLC
January 19, 1999 - February 8, 2013
SIGNATOR INVESTORS, INC.
August 17, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 17, 1993 - February 8, 2013
SIGNATOR INVESTORS, INC.
January 29, 1988 - February 16, 1988
MAIN STREET MANAGEMENT COMPANY
August 15, 1984 - April 5, 1988
SIGNATOR INVESTORS, INC.
October 14, 1982 - December 31, 1987
JOHN HANCOCK DISTRIBUTORS LLC
May 25, 1982 - April 7, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 23, 1981 - November 4, 1982
HEATHER AGENCY, INC.
August 17, 1978 - February 22, 1982
1717 CAPITAL MANAGEMENT COMPANY
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 1
Date: 8/9/1978
Registered Representative ExaminationCurrent Firm
SECURITIES SERVICE NETWORK, LLC
CRD#: 13318 / SEC#: , 8-28980
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHARE HOLDER | |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR | 3086071 |
| GODBEE, CRYSTAL LEE | VICE PRESIDENT OF OPERATIONS | 5629010 |
| KLIMAS, RONALD THOMAS | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2321602 |
| MAAS, JONATHAN ELMER | VICE PRESIDENT, TRADING | 2793069 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PATEL, JAYAPRAKASH MOHANBHAI | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 2973297 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| WILKINSON, WADE SHANNON | PRESIDENT AND CEO | 2312703 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
| Bond | 1 |
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.
