Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Winford is a financial advisor at Raymond James & Associates, Inc. Frank has over 30 years of experience in the financial services industry. Frank holds the Series 3, 7, and 63 licenses and the Series 65 license. Frank has experience working with individuals, businesses, corporations, investment companies, high net worth individuals, pension and profit-sharing plans, charitable organizations, insurance companies, banking and thrift institutions, state or municipal government entities, and other financial institutions.
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.
Please see note in schedule d - miscellaneous
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
TX
09/06/2016 - Present
Raymond James & Associates, Inc. (Dallas TX)
TX
10/10/2006 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (HOUSTON TX)
TX
05/02/1995 - 10/14/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
NY
10/05/1992 - 04/04/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
01/09/1990 - 07/15/1992
TEXAS COMMERCE EQUITIES, INC.
IA
Issued 08/01/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/19/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1994
Series 3 - National Commodity Futures Examination
BC
Issued 05/21/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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