Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Herman Dworsky is an active investment advisor representative and registered representative associated with Stifel, Nicolaus & Company, Inc. Frank has been in the securities industry for over 40 years and holds a variety of licenses and certifications. Frank specializes in providing financial planning, pension consulting, and portfolio management services to individuals, businesses, and pooled investment vehicles. Frank is also registered as an investment adviser representative in Florida, North Carolina, and Texas. Frank has previously worked with a number of other financial institutions, including Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Salomon Smith Barney Inc., and Lehman Brothers Inc.
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
NC
07/16/2020 - Present
Stifel, Nicolaus & Company, Inc. (CHAPEL HILL NC)
NC
06/01/2009 - 07/23/2020
MORGAN STANLEY (CHAPEL HILL NC)
NC
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHAPEL HILL NC)
NC
03/01/2007 - 04/02/2007
MORGAN STANLEY DW INC. (RALEIGH NC)
NC
07/01/2003 - 03/01/2007
WACHOVIA SECURITIES, LLC (CHAPEL HILL NC)
NY
02/10/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 02/22/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/25/1978 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 12/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1980
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 06/12/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/15/1978
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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