Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Roe has been a registered representative in the financial industry since 2006. Frank is currently an Investment Advisor Representative for Assetmark, Inc. based in Chicago, Illinois. Frank's career has included previous roles at Capital Brokerage Corporation, Assetmark Capital Corporation, and Ameriprise Financial Services, Inc. Frank holds Series 66, Series 26, SIE, and Series 7 licenses and specializes in providing investment advice to high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, insurance companies, and investment companies. Frank's experience includes a wide range of financial products and services, including portfolio management, selection of other advisors, and pension consulting.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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
IL
04/30/2008 - Present
Assetmark, Inc. (Chicago IL)
VA
12/03/2013 - 08/15/2014
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
IL
04/01/2008 - 11/20/2013
CAPITAL BROKERAGE CORPORATION (CHICAGO IL)
CA
07/10/2007 - 04/01/2008
ASSETMARK CAPITAL CORPORATION (PLEASANT HILL CA)
CA
08/10/2006 - 03/02/2007
AMERIPRISE FINANCIAL SERVICES, INC. (ROSEVILLE CA)
BOTH
Issued 09/05/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/27/2012
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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