Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you J. frank? Claim Your ProfileJ. frank Franklin Tart is a financial advisor with over 20 years of experience. J. frank has worked at Bofa Securities, Inc. since 2019. Prior to that, J. frank was a registered representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated from 2014 to 2019. J. frank also held positions at First Union Securities, Inc. and First Union Capital Markets Corp. J. frank holds FINRA Series 7, 10, 24 and 63 licenses and has passed the Securities Industry Essentials Examination (SIE). J. frank is registered in Massachusetts, North Carolina and South Carolina.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NC
05/10/2019 - Present
Bofa Securities, Inc. (RALEIGH NC)
NC
09/25/2014 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RALEIGH NC)
MO
10/01/1999 - 03/01/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/02/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NC
08/13/1997 - 02/02/1998
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BC
Issued 10/09/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/17/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2014
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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