Stephen Jeffrey Frank

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-06-14

NY RA
APPROVED

Since 2024-06-14

Branch Locations

35 Harrison Street, Jamestown, NY 14701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Seneca Allegany Casino	Salamanca	NY	08/2004	11/2020
Investacorp	Jamestown	NY	08/2014	07/2020
Securities America, Inc.	Jamestown	NY	07/2020	06/2024
Securities America Advisors	Jamestown	NY	09/2023	06/2024
Osaic Wealth, Inc.	Jamestown	NY	06/2024	Present
Osaic Wealth, Inc.	Jamestown	NY	06/2024	Present

08/2004 → 11/2020

Seneca Allegany Casino

Salamanca, NY
08/2014 → 07/2020

Investacorp

Jamestown, NY
07/2020 → 06/2024

Securities America, Inc.

Jamestown, NY
09/2023 → 06/2024

Securities America Advisors

Jamestown, NY
06/2024 → Present

Osaic Wealth, Inc.

Jamestown, NY
06/2024 → Present

Osaic Wealth, Inc.

Jamestown, NY

Previous Registrations

2023-09-26 → 2024-06-14

Securities America Advisors, Inc.

Jamestown, NY

Other Businesses

1. STEPHEN FRANK INSURANCE PRODUCTION POSITION: Non Producing NATURE: Insurance License INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2024 ADDRESS: 35 Harrison Street, Jamestown NY 14701, United States DESCRIPTION: Licensed but not producing.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-03-30

S66 Uniform Combined State Law Examination

2022-03-30

View on SEC IAPD