Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Craig? Claim Your ProfileCraig Howard Frank has been in the financial services industry since October 20, 1987. Craig Frank is currently registered with Ameriprise Financial Services, LLC and has held previous registrations with RAYMOND JAMES FINANCIAL SERVICES, INC., ADVEST, INC., PRUDENTIAL SECURITIES INCORPORATED, SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED, and SHEARSON LEHMAN HUTTON INC.. Craig Frank holds several licenses and registrations including Series 3, 63, 7, 8, 9, 10, 65, and SIE. Craig Frank is also a registered investment advisor in New York and Texas. Craig Frank's specializations include asset allocation services, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
08/09/2023 - Present
Ameriprise Financial Services, LLC (HARRISON NY)
NY
04/05/2002 - 05/02/2011
RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)
CT
08/22/1996 - 03/06/2002
ADVEST, INC. (HARTFORD CT)
NY
04/06/1992 - 08/29/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/20/1990 - 05/20/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NY
09/22/1987 - 03/06/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
IA
Issued 04/12/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/03/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1987
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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