Robert A. 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.
Robert Allen Frank was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - December 31, 2016
GROWTHINCOME RESEARCH & MANAGEMENT, LLC
December 14, 2006 - February 21, 2007
FERRIS, BAKER WATTS, LLC
July 22, 2004 - February 21, 2007
FERRIS, BAKER WATTS, LLC
November 26, 2003 - June 16, 2004
BENGUR BRYAN & CO., INC.
March 1, 2001 - December 31, 2001
CHAPIN, DAVIS
October 13, 2000 - December 31, 2002
INTELLECTUAL CAPITAL MARKETS, INC.
September 20, 2000 - March 11, 2002
CFG CAPITAL MARKETS, LLC
October 24, 1996 - September 7, 2000
LEGG MASON WOOD WALKER, INCORPORATED
November 1, 1978 - September 17, 1996
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GROWTHINCOME RESEARCH & MANAGEMENT, LLC
CRD#: 154916 / SEC#:
Contact information
Red Flags
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