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Jennifer B Frankel
JENNIFER BETH FRANKEL, JENNIFER BETH HABER
CRD#: 2882393
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1340 ENCINITAS BLVD
ENCINITAS, CA 92024
ENCINITAS, CA 92024
0
Disclosures
25
Years of Experience
View By:
State Registrations
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Arizona 10/11/2024
B
Oregon 10/11/2024
B
California 9/18/2024
B
Texas 10/11/2024
IA
California 9/18/2024
IA
Texas 10/14/2024
B
Florida 10/11/2024
B
Washington 10/11/2024
B
Nevada 10/11/2024
SRO Registrations
B
B
B
B
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/18/2024
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Registered with this firm since 9/18/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/03/2011 - 01/18/2024 | CARLSBAD, CA | |
B | 01/03/2011 - 01/18/2024 | CARLSBAD, CA | |
IA | 01/28/2004 - 01/03/2011 | CARLSBAD, CA | |
B | 01/27/2004 - 01/03/2011 | CARLSBAD, CA | |
B | 11/10/2000 - 12/10/2002 | OMAHA, NE | |
B | 10/11/2000 - 10/26/2000 | OMAHA, NE | |
B | 06/01/1998 - 09/28/2000 | WEEHAWKEN, NJ | |
B | 10/13/1997 - 06/10/1998 | DETROIT, MI |
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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.