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CHANA BERTHELOT FRANKS
CHANA B FRANKS
CRD#: 2333968
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 NEW ORLEANS, LA
Registration History
1995200020052010201520202025IARBC CAPITAL MARKETS, LLC (CRD# 31194)2005 - Present (19 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)1998 - Present (26 years)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1998 - 1998 (<1 year)BBANK UNITED SECURITIES CORP. (CRD# 30288)1995 - 1997 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1994 - 1995 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1993 - 1994 (<1 year)BOPPENHEIMER & CO., INC. (CRD# 630)1993 - 1993 (<1 year)
License(s)

State Registrations

B
Arizona 10/24/2019

B
New Mexico 10/24/2019

B
California 10/24/2019

B
Oklahoma 10/24/2019

B
Colorado 10/24/2019

B
Oregon 10/24/2019

B
Idaho 10/24/2019

B
Texas 3/2/1998

B
Louisiana 11/21/2022

IA
Texas 4/19/2005

IA
Louisiana 1/27/2023

B
Utah 10/24/2019

B
Massachusetts 8/25/2023

B
Washington 10/24/2019

B
Montana 10/24/2019

B
Wyoming 10/24/2019

B
Nevada 10/24/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
NEW ORLEANS, LA
Registered with this firm since 4/19/2005

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
NEW ORLEANS, LA
Registered with this firm since 3/2/1998

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/26/1998 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
B
11/06/1995 - 06/10/1997 BANK UNITED SECURITIES CORP. (CRD#:30288) HOUSTON, TX
B
10/17/1994 - 11/03/1995 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
10/04/1993 - 08/02/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
05/18/1993 - 10/12/1993 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.