Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Yale Frank is a financial advisor with over 40 years of experience in the industry. Douglas is currently registered with Wells Fargo Advisors Financial Network, LLC, a firm with over 2,000 licensed agents and 3,000 investment advisor representatives. Douglas specializes in financial planning, portfolio management, and pension consulting. He has held previous positions with firms such as Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bank of America, N.A.. Douglas is a Certified Financial Planner and holds a California State Bar Law License.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
03/30/2023 - Present
Wells Fargo Advisors Financial Network, LLC (WESTLAKE VILLAGE CA)
CA
10/23/2009 - 03/31/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
CA
05/30/1992 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
10/23/1991 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
NA
12/22/1987 - 06/26/1989
PRUDENTIAL-BACHE SECURITIES INC.
NA
03/07/1982 - 01/15/1988
E. F. HUTTON & COMPANY INC
NA
02/09/1981 - 01/13/1982
IDS LIFE INSURANCE COMPANY
NA
02/09/1981 - 01/13/1982
IDS MARKETING CORPORATION
NA
02/09/1981 - 01/13/1982
INVESTORS DIVERSIFIED SERVICES, INC.
IA
Issued 09/25/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/28/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1987
Series 15 - Foreign Currency Options Examination
BC
Issued 02/20/1982
Series 7 - General Securities Representative Examination
BC
Issued 02/02/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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