Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Edward Vega is a registered representative with Stifel, Nicolaus & Company, Inc. Frank has been in the securities industry since 2007 and holds the Series 7, Series 52TO, Series 53, Series 63, and Series 79TO licenses. He is also registered with the state of California. Frank has experience with a variety of financial products and services, including investment banking, municipal securities, and securities industry essentials. He is committed to providing his clients with personalized financial advice and guidance.
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.
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.
1
2
CA
06/17/2022 - Present
Stifel, Nicolaus & Company, Inc. (LOS ANGELES CA)
CA
05/24/2013 - 04/29/2022
RBC CAPITAL MARKETS, LLC (LOS ANGELES CA)
CA
04/19/2011 - 06/21/2013
PIPER JAFFRAY & CO. (EL SEGUNDO CA)
CA
10/08/2007 - 04/21/2011
RBC CAPITAL MARKETS, LLC (LOS ANGELES CA)
BC
Issued 01/14/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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