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Frank Kuiper: $1mm-$5mm Complaint Against Financial Designs Advisor
San Diego financial advisor Frank Kuiper (CRD# 1774282) allegedly committed fraud, according to a recent investor complaint. Records provided by the Financial Industry Regulatory Authority show that he is a broker with Concorde Investment Services and an advisor with Concorde Asset Management, doing business as Financial Designs.
Mr. Kuiper’s BrokerCheck report discloses one investor complaint. Filed in September 2023, it alleges that as a representative of Concorde Investment Services, he committed common law fraud, breached his fiduciary duty, acted negligently, and failed in his supervisory duties in connection with direct investments made in 2020. The pending complaint alleges damages between $1 million and $5 million.
According to the Financial Industry Regulatory Authority, Frank Kuiper holds 35 years of securities industry experience. Based in San Diego, California, he has been a broker with Concorde Investment Services and an advisor with Concorde Asset Management since 2018, doing business as Financial Designs. His registration history includes Independent Financial Group (San Diego, California; 2011-2018), Heritage Wealth Management (San Diego, California; 2007-2011), WFG Investments (San Diego, California; 2009-2010), Raymond J. Lucia Companies (San Diego, California; 2003-2007), Securities America (Oswego, Oregon; 2003-2007), RJL Advisors (Omaha, Nebraska; 2004-2007), MetLife Securities (San Diego, California; 2001-2003), Hornor Townsend & Kent (Horsham, Pennsylvania; 2001), Signator Investors (Boston, Massachusetts; 1988-2001), and John Hancock Mutual Life Insurance Company (Boston, Massachusetts; 1988-1997). His credentials include the passage of seven securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Investment Banking Registered Representative Examination, or Series 79TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Idaho, Illinois, North Carolina, Oregon, Rhode Island, Tennessee, Virginia, and Washington. (Information current as of October 9, 2023.)
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