Individual Firm
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Thomas Frankel
THOMAS J FRANKEL
CRD#: 2341311
IA
B
EDWARD JONESCRD#: 250 165 S E MIZNER BLVD #17
BOCA RATON, FL 33432
BOCA RATON, FL 33432
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6/2/2015
Customer Dispute
Denied
State Registrations
B
Arizona 2/4/2015
B
North Carolina 9/10/2019
B
California 5/14/2015
B
Ohio 2/7/2022
B
Connecticut 12/18/2018
B
Oregon 11/16/2021
B
Florida 1/2/2015
B
Pennsylvania 5/14/2015
IA
Florida 1/8/2015
B
South Carolina 4/2/2024
B
Illinois 11/5/2019
B
Texas 3/4/2021
B
Maryland 5/14/2015
IA
Texas 3/8/2021
B
Michigan 10/24/2018
B
Utah 5/4/2015
B
New Hampshire 4/29/2021
B
Virginia 5/14/2015
B
New Jersey 1/2/2015
B
Wisconsin 10/28/2022
B
New York 1/2/2015
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/8/2015
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Registered with this firm since 1/2/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/24/2011 - 10/29/2014 | FORT LEE, NJ | |
B | 10/24/2011 - 10/29/2014 | FORT LEE, NJ | |
IA | 05/19/2010 - 10/14/2011 | PURCHASE, NY | |
B | 04/13/2010 - 10/14/2011 | PURCHASE, NY | |
B | 07/18/2008 - 11/24/2009 | HOBOKEN, NJ | |
B | 03/28/2008 - 07/16/2008 | ENGLEWOOD, NJ | |
B | 09/25/2003 - 04/04/2008 | TEANECK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.