Richard Roger Frank

Current Employers

Employment History

• 06/2004 → Present
  Icm
  Phoenix, AZ
• 08/2003 → Present
  Richard Frank
  Camarillo, CA
• 01/2009 → 09/2023
  Sagepoint Financial, Inc
  Camarillo, CA
• 09/2023 → Present
  Osaic Wealth, Inc.
  Camarillo, CA

Previous Registrations

• 2012-03-05 → 2023-09-01
  Osaic Services, Inc.
  Camarillo, CA
  Phoenix, AZ

Other Businesses

1. INDEPENDENT CAPITAL MANAGEMENT, INC.; INVESTMENT RELATED; 770 PASEO CAMARILLO SUITE 130 CAMARILLO CA 93010; STATUTORY AGENT; 08/24/2004; 32 HRS/MTH; 8 HRS DURING TRADING; SOLICIT AND SELL LIFE, HEALTH, DISABILITY AND LONG TERM CARE INSUARNCE AND FIXED ANNUITY PRODUCTS. 2. ICM LENDING; INVESTMENT RELATED; 27281 LAS RAMBLAS, SUITE 130 MISSION VIEJO, CA 92691; STATUTORY AGENT; 12/19/2005; 16 HRS/MTH; 8 HRS DURING TRADING; WORK WITH CLIENTS TO FINANCE/REFINANCE HOME MORTAGES. 3. R R FRANK; NON-INVESTMENT RELATED; 770 PASEO CAMARILLO SUITE 130 CAMARILLO CA 93010; NOTARY PUBLIC; 06/06/2006; 16 HRS/MTH; 8 HRS DURING TRADING; SERVE THE PUBLIC WITHIN THE STATE OF CALIFORNIA AS AN IMPARTIAL WITNESS IN TAKING ACKNOWLEDGEMENTS, ADMINISTERING OATHS AND AFFIRMATIONS, AND PERFORMING OTHER ACTS AUTHORIZED BY LAW, (GOVERNMENT CODE [G.C.] SECTIONS 8201.1 AND 8205), AS A NOTARY PUBLIC OF THE STATE OF CALIFORNIA, COMMISSION NUMBER 1888778. 4. CITADEL LAW OFFICES POSITION: Other - Certified Estate Planner NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 8 START DATE: 09/01/2004 ADDRESS: 2372 Morse Ave., Irvine CA 92614, United States DESCRIPTION: Collect information from clients to allow creation of Trust instruments by the attorneys at Citadel Law Offices. 5. BOY SCOUTS OF AMERICA TROOP 225; NOT INVESTMENT RELATED; BSA TROOP 225 CAMARILLO UNITED METHODIST CHURCH 126 ANACAPA ST. CAMARILLO CA 93010; COMMITTEE MEMBER; STARTED 3/01/2000; 8 ; 0 ; VOLUNTEER AND COMMITTE MEMBER IN CHARGE OF BOARDS OF REVIEW FOR SCOUT RANK ADVANCEMENTS. 6. AMERICAN YOUTH SOCCER ORGANIZATION REGION 68; NOT INVESTMENT RELATED; 1161 CALLE SUERTE, SUITE F, CAMARILLO CA 93012; BOARD MEMBER; STARTED 03/01/1996; 8 ; 0 ; AYSO REGION 68 BOARD MEMBER, ADVANCED REFEREE, REFEREE INSTRUCTOR. 7. R.R. FRANK, NOTARY PUBLIC OF THE STATE OF CALIFORNIA COMMISSION NUMBER: 2554578 POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 8 START DATE: 06/06/2006 ADDRESS: 770 Paseo Camarillo Suite 130 Camarillo, CA 93010, Camarillo CA 93010, United States DESCRIPTION: Serve the public within the State of California as an impartial witness in taking acknowledgements, administering oaths and affirmations, and performing other acts authorized by law, (Government Code [G.C.] Sections 8201.1 and 8205), as a Notary Public of the State of California, Commission Number 2554578.

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-02-16
• S63 Uniform Securities Agent State Law Examination
  2004-07-19

Designations