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Detailed Report
JAMES MICHAEL FRANK
CRD#: 729939
IA
Investment Adviser
B
Broker
EQUITABLE ADVISORS, LLCCRD#: 6627 1 BELMONT AVENUE
STE. 1100
BALA CYNWYD, PA 19004
Registration History
198519901995200020052010201520202025IAEQUITABLE ADVISORS, LLC (CRD# 6627)2002 - Present (22 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)1999 - Present (25 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1999 - 2000 (<1 year)BLINCOLN INVESTMENT PLANNING, INC. (CRD# 519)1993 - 1998 (5 years)BFIRST RADNOR EQUITIES, INC. (CRD# 16235)1985 - 1993 (7 years)BCAPITAL ANALYSTS, INCORPORATED (CRD# 5478)1981 - 1985 (3 years)IAFINANCIAL PLANNING PARTNERS LLC (CRD# 312773)2021 - 2023 (2 years)IAKARR BARTH FINANCIAL PLANNING,... (CRD# 121043)2002 - 2021 (18 years)
License(s)

State Registrations

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Arizona 10/4/2022
IA
New Jersey 6/24/2005
B
California 10/21/2013
B
New York 6/5/2000
B
Delaware 6/5/2000
B
Pennsylvania 11/10/1999
B
Maryland 6/5/2000
IA
Pennsylvania 8/20/2002
B
New Jersey 6/5/2000

SRO Registrations

B
 FINRA

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
EQUITABLE ADVISORS, LLC (CRD#:6627)
1 BELMONT AVENUE STE. 1100, BALA CYNWYD, PA 19004
Armore, PA
Registered with this firm since 8/20/2002
B
EQUITABLE ADVISORS, LLC (CRD#:6627)
1 BELMONT AVENUE STE. 1100, BALA CYNWYD, PA 19004
Armore, PA
Registered with this firm since 11/10/1999
Previous Registration(s)
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 04/09/2021 - 12/07/2023 FINANCIAL PLANNING PARTNERS LLC (CRD#:312773) BALA CYNWYD, PA
IA
 07/25/2002 - 05/25/2021 KARR BARTH FINANCIAL PLANNING, INC. (CRD#:121043) BALA CYNWYD, PA
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 11/10/1999 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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 04/01/1993 - 04/16/1998 LINCOLN INVESTMENT PLANNING, INC. (CRD#:519) FORT WASHINGTON, PA
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 04/22/1985 - 03/26/1993 FIRST RADNOR EQUITIES, INC. (CRD#:16235) RADNOR, PA
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 05/13/1981 - 03/25/1985 CAPITAL ANALYSTS, INCORPORATED (CRD#:5478)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.