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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-07-15 |
Branch Locations
5300 W. Atlantic Ave Ste. 602, Delray Beach, FL 33484 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc | White Plains | NY | 11/2012 | 06/2023 |
| Unemployed | Delray Beach | FL | 06/2023 | 06/2024 |
| Independent Financial Group, Llc | Delray Beach | FL | 07/2024 | Present |
DOM FRANK INVESTMENTS LLC POSITION: Officer/Director NATURE: Business Entity for Tax/Investment Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/08/2023 ADDRESS: 5300 W. Atlantic Ave, Ste. 602, Delray Beach FL 33484, United States DESCRIPTION: Ownership shares in restaurant and real estate land ownership PAXTON CONSULTING GROUP POSITION: Consultant NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 06/17/2024 ADDRESS: 5300 W. Atlantic Ave, Ste. 602, Delray Beach FL 33484, United States DESCRIPTION: Structured product processing. .
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2007-11-30 |
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