Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Catrena Vargas is an active investment advisor representative, registered with the state of California and Texas. Frank has been active in the investment industry since March 21, 1980. Frank is currently employed by RBC Capital Markets, LLC and has been with the firm since May 2019. Previously, Frank was employed by WELLS FARGO CLEARING SERVICES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and FAHNESTOCK & CO., INC. Frank's previous employment also includes positions at FSC SECURITIES CORPORATION, SENTRA SECURITIES CORPORATION, NEL EQUITY SERVICES CORPORATION, MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY, and B.C. CHRISTOPHER SECURITIES CO. Frank holds several professional licenses including Series 1, Series 3, Series 7, Series 31, and Series 63 and Series 65.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
CA
04/29/2022 - Present
RBC Capital Markets, LLC (FRESNO CA)
CA
05/01/2019 - 04/29/2022
RBC CAPITAL MARKETS, LLC (FRESNO CA)
CA
08/07/1998 - 05/08/2019
WELLS FARGO CLEARING SERVICES, LLC (FRESNO CA)
NY
08/25/1993 - 08/11/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/23/1990 - 10/07/1991
FAHNESTOCK & CO., INC. (NEW YORK NY)
MO
04/04/1989 - 03/23/1990
B.C. CHRISTOPHER SECURITIES CO. (KANSAS CITY MO)
NA
06/03/1987 - 03/20/1989
FSC SECURITIES CORPORATION
NA
10/15/1985 - 06/08/1987
SENTRA SECURITIES CORPORATION
NA
04/21/1978 - 10/25/1985
NEL EQUITY SERVICES CORPORATION
NA
10/01/1983 - 06/12/1985
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
IA
Issued 11/01/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
BC
Issued 04/11/1978
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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