Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Dominic Carpin is a registered representative with Oppenheimer & Co. Inc. Frank has been in the industry since December 7, 1966. Frank has a diverse background, having worked with several firms including Stanford Group Company and UBS Financial Services Inc. Frank is a Registered Representative and Investment Advisor Representative, registered in 11 states. Frank's specializations include providing services to high-net-worth individuals, corporations, and charitable organizations. Frank and Oppenheimer & Co. Inc. manage assets for pension plans, businesses, investment companies, and pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
VA
03/17/2009 - Present
Oppenheimer & Co. Inc. (RICHMOND VA)
VA
09/02/2008 - 03/17/2009
STANFORD GROUP COMPANY (RICHMOND VA)
VA
01/31/1980 - 09/05/2008
UBS FINANCIAL SERVICES INC. (RICHMOND VA)
VA
08/29/2008 - 09/02/2008
STANFORD GROUP COMPANY (RICHMOND VA)
NA
02/02/1970 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
12/08/1966 - 08/12/1971
ABBOTT, PROCTOR & PAINE,
IA
Issued 06/26/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/02/1977
PC - AMEX Put and Call Exam
BC
Issued 12/07/1966
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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