• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
WAYNE SPENCER FRANK
CRD#: 3111263
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 11201 NORTH PORT WASHINGTON ROAD (SOUTH)
MEQUON, WI 53092
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2018 (19 years)2 FIRMS2018 - Present (6 years)BSII INVESTMENTS, INC. (CRD# 2225)1998 - 1999 (<1 year)
Disclosure(s)
View By:
12/11/2013
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 3/16/2018

B
Nevada 8/4/2021

B
California 3/20/2024

B
New Mexico 1/2/2024

B
Colorado 3/16/2018

B
Ohio 5/19/2023

B
Florida 3/16/2018

B
South Carolina 8/22/2022

B
Illinois 3/16/2018

B
South Dakota 10/15/2021

B
Iowa 2/3/2022

B
Texas 3/16/2018

B
Kentucky 1/15/2021

IA
Texas 8/5/2019

B
Maryland 3/7/2023

B
Washington 3/16/2018

B
Massachusetts 11/21/2018

B
Wisconsin 3/16/2018

B
Michigan 8/25/2021

IA
Wisconsin 3/16/2018

B
Minnesota 3/16/2018

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
11201 NORTH PORT WASHINGTON ROAD (SOUTH), MEQUON, WI 53092
Registered with this firm since 3/16/2018

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
11201 NORTH PORT WASHINGTON ROAD (SOUTH), MEQUON, WI 53092
Registered with this firm since 3/16/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/04/1999 - 03/16/2018 B. C. ZIEGLER AND COMPANY (CRD#:61) MEQUON, WI
B
01/04/1999 - 03/16/2018 B. C. ZIEGLER AND COMPANY (CRD#:61) MEQUON, WI
B
08/25/1998 - 01/04/1999 SII INVESTMENTS, INC. (CRD#:2225) APPLETON, WI
For additional information about investment advisers or broker-dealers, please visit
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.