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ROGER DEAN FRANK
CRD#: 2744605
IA
B
LPL FINANCIAL LLCCRD#: 6413 17787 N PERIMETER DR STE A107
SCOTTSDALE, AZ 85255-5454
SCOTTSDALE, AZ 85255-5454
0
Disclosures
28
Years of Experience
View By:
State Registrations
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Alabama 5/6/2024
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Montana 5/1/2024
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Alaska 5/1/2024
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Nebraska 5/1/2024
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Arizona 5/1/2024
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Nebraska 5/2/2024
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Arizona 5/3/2024
B
Nevada 5/1/2024
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Arkansas 5/1/2024
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New Jersey 5/1/2024
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California 5/1/2024
B
New Mexico 5/1/2024
B
Colorado 5/1/2024
B
New York 5/1/2024
B
Connecticut 5/1/2024
B
North Carolina 5/1/2024
B
Florida 5/1/2024
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Ohio 5/1/2024
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Georgia 5/1/2024
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Oklahoma 5/1/2024
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Hawaii 5/16/2024
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Oregon 5/1/2024
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Idaho 5/1/2024
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Pennsylvania 5/1/2024
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Illinois 5/1/2024
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South Dakota 5/1/2024
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Iowa 5/1/2024
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Tennessee 8/6/2024
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Kansas 5/1/2024
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Texas 5/1/2024
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Louisiana 5/1/2024
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Texas 5/2/2024
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Maryland 5/1/2024
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Virginia 5/1/2024
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Michigan 5/1/2024
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Washington 5/1/2024
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Minnesota 5/1/2024
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Wisconsin 5/1/2024
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Missouri 5/1/2024
SRO Registrations
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/2/2024
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Registered with this firm since 5/1/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/09/2016 - 05/01/2024 | Lincoln, NE | |
IA | 01/03/2008 - 05/01/2024 | Scottsdale, AZ | |
B | 11/03/2003 - 05/01/2024 | Scottsdale, AZ | |
IA | 03/02/1999 - 11/06/2003 | LINCOLN, NE | |
B | 12/17/1998 - 11/06/2003 | FORT WAYNE, IN | |
B | 12/17/1998 - 11/06/2003 | FORT WAYNE, IN | |
B | 12/23/1996 - 12/11/1998 | LINCOLN, NE | |
B | 06/11/1996 - 09/25/1996 | OVERLAND PARK, KS |
Scottsdale, AZ
01/03/2008 - 05/01/2024
Scottsdale, AZ
11/03/2003 - 05/01/2024
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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.