James FrankCRD Number: 2993666
Current Firm: Metis Wealth Advisory Group
James Frank (CRD# 2993666) is an Investment Advisor Representative working at Metis Wealth Advisory Group in Lake Oswego, OR and has over 20 years of experience in the finance industry.
Secondhalf Planning & Investment, LLC
Smb Financial Services, Inc.
Cable Hill Partners, LLC
|Clc Incorporated||Portland, OR||Aug 2017 - Current||< 1|
|Metis Wealth Advisory Group||Lake Oswego, OR||Mar 2016 - Current||2|
|Raymond James Financial Services Advisors Inc.||Lake Oswego, OR||Dec 2009 - Current||8|
|Raymond James Financial Services||Lake Oswego, OR||Dec 2009 - Current||8|
|Frank Financial, LLC||Lake Oswego, OR||Dec 2009 - Current||8|
|Morgan Stanley Smith Barney||Portland, OR||Jun 2009 - Dec 2009||< 1|
|Citigroup Global Markets Inc.||Portland, OR||Mar 1998 - Jun 2009||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1998|
|S65||NASAA Investment Advisors Law Examination||Mar 1998|
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:
- Customer Dispute
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
OR, TX, WA
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