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Howard M Frank

SG Americas Securities, LLC

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About Howard M Frank

Howard Frank has been in the securities industry since October 29, 2013. Howard is currently registered with SG Americas Securities, LLC. Howard holds the Series 99 and SIE licenses. Howard previously worked for RBS Securities Inc. and was registered with them from February 4, 2013, to December 12, 2017.

Firm Information

Howard Frank is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Howard Frank’s Registration & Firm History

NY

09/07/2018 - Present

SG Americas Securities, LLC (NEW YORK NY)

CT

02/04/2013 - 12/12/2017

RBS SECURITIES INC. (STAMFORD CT)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/02/2013

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Howard M Frank.
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