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Frank C Luton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Johnson City, TN

Charlotte, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-12-09
TN RA APPROVED 2025-12-05
  • TX RA
    APPROVED_RES
    Since 2025-12-09
  • TN RA
    APPROVED
    Since 2025-12-05

Branch Locations

206 Princeton Rd Adp - Home Office, Johnson City, TN 37601 • United States

401 N Tryon St Ci Client Management, Charlotte, NC 28255 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Johnson City TN 10/2025 Present
Financial Insurance Group Benefits, Llc Johnson City TN 08/2023 10/2025
Beacon Financial Credit Union Dba Beacon Insurance Group, Llc Johnson City TN 08/2022 08/2023
The Hilb Group Dba Cse Insurance Agency Abingdon VA 11/2014 08/2022
Bank Of America, N.A. Johnson City TN 12/2025 Present
  • 10/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Johnson City, TN
  • 08/2023 → 10/2025
    Financial Insurance Group Benefits, Llc
    Johnson City, TN
  • 08/2022 → 08/2023
    Beacon Financial Credit Union Dba Beacon Insurance Group, Llc
    Johnson City, TN
  • 11/2014 → 08/2022
    The Hilb Group Dba Cse Insurance Agency
    Abingdon, VA
  • 12/2025 → Present
    Bank Of America, N.A.
    Johnson City, TN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-06-24
S65 Uniform Investment Adviser Law Examination 2024-11-26
  • S63 Uniform Securities Agent State Law Examination
    2025-06-24
  • S65 Uniform Investment Adviser Law Examination
    2024-11-26
Other Names
  • Frank Cundell Luton

View on SEC IAPD

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