Individual Firm
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FRANK EDWARD CLEGG III
CAP CLEGG, FRANK EDWARD CLEGG, FRANK EDWARD CLEGG, III III, FRANK EDWARD CLEGG, III
CRD#: 725190
IA
B
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 5500 FRANTZ ROAD
SUITE 151
DUBLIN, OH 43017
SUITE 151
DUBLIN, OH 43017
View By:
8/18/2022
Customer Dispute
Denied
State Registrations
B
Alabama 1/11/2008
B
Michigan 11/20/2014
B
Arizona 7/3/2002
B
Missouri 1/21/2016
B
California 8/9/2010
B
Montana 1/21/2022
B
Colorado 9/30/2008
B
North Carolina 5/9/2013
B
Connecticut 4/26/2002
B
Ohio 4/23/1987
B
Florida 2/3/1998
IA
Ohio 1/1/2001
B
Georgia 12/7/2016
B
Oregon 11/20/2014
B
Illinois 10/31/2007
B
Pennsylvania 9/4/2000
B
Indiana 9/4/2000
B
South Carolina 7/8/2014
B
Kentucky 5/4/2022
B
Texas 6/8/2016
B
Louisiana 1/2/2020
B
Virginia 9/5/2000
B
Maryland 1/21/2016
B
West Virginia 5/31/2013
SRO Registrations
B
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IA
Registered with this firm since 1/1/2001
B
Registered with this firm since 5/17/1986
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/22/2007 - 03/29/2011 | DUBLIN, OH | |
B | 11/18/1985 - 05/13/1986 | ||
B | 03/07/1981 - 12/05/1985 | ||
B | 03/07/1981 - 12/04/1985 |
DUBLIN, OH
02/22/2007 - 03/29/2011
11/18/1985 - 05/13/1986
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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.