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Steven Charles Frankel

Citizens JMP Securities, LLC

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About Steven Charles Frankel

Steven Frankel is a financial professional with over 25 years of experience in the financial services industry. Steven is currently registered with Citizens JMP Securities, LLC and holds Series 7, Series 63, and SIE licenses. Prior to joining Citizens JMP Securities, Steven was affiliated with several other firms, including Piper Jaffray & Co., Fulcrum Global Partners LLC, C.E. Unterberg, Tobin (A California Limited Partnership), and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Steven has extensive experience in the financial markets and is committed to providing clients with personalized financial advice and guidance.

Firm Information

Steven Frankel is currently registered with Citizens JMP Securities, LLC. Citizens JMP Securities, LLC, a Limited Liability Company, was formed in 2002 and is approved in all 50 states and the District of Columbia. The firm has received one SEC registration and 51 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

238

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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Steven Frankel’s Registration & Firm History

NY

08/10/2009 - Present

Citizens JMP Securities, LLC (NEW YORK NY)

NY

06/17/2002 - 08/21/2009

PIPER JAFFRAY & CO. (NEW YORK NY)

NY

05/01/2001 - 06/05/2002

FULCRUM GLOBAL PARTNERS LLC (NEW YORK NY)

NY

06/07/1996 - 04/18/2001

C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (NEW YORK NY)

NY

06/06/1994 - 05/16/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/15/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/14/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/03/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Steven Charles Frankel. Review regulatory record here.
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