Robert FrankCRD Number: 1455254
Current Firm: Foresters Equity Services, Inc.
Robert Frank (CRD# 1455254) is an Investment Advisor Representative working at Foresters Equity Services, Inc. in Brunswick, ME and has over 32 years of experience in the finance industry.
F L Putnam Investment Management Company
Saltwater Harbor Financial LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
|Foresters Equity Services, Inc.||Brunswick, ME||Aug 2013 - Current||4|
|Hornor Townsend & Kent Inc.||Horsham, PA||Jul 2010 - Aug 2013||3|
|Penn Mutual Life Ins Co||Horsham, PA||Jul 2010 - Aug 2013||3|
|Park Avenue Securities||Portland, ME||Apr 2009 - Jul 2010||1|
|Guardianlife Insurance Company Of America||Portland, ME||Feb 2009 - Jul 2010||1|
|Living Wealth Ptnrs LLC||Portland, ME||Mar 2009 - Mar 2009||< 1|
|Harris Agency LLC||Kennebbunk, ME||Oct 2008 - Mar 2009||< 1|
|Nationwide Securities, Inc.||Portland, ME||Aug 2008 - Oct 2008||< 1|
|O'hearn Ins Agency||Portland, ME||Jan 2006 - Oct 2008||2|
|1717 Capital Management||Newark, DE||Jun 2007 - Aug 2008||1|
|Nationwide Financial Network||Newark, DE||Jun 2007 - Aug 2008||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1986|
|S65||NASAA Investment Advisors Law Examination||Sep 1995|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management16MILLIONS
Total Number of Accounts181ACCOUNTS
Average Account Value$88,483
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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