Richard Kevin Frank

Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → 11/2016
  Wells Fargo Advisors, Llc
  Newport Beach, CA
• 11/2016 → 01/2018
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
• 01/2018 → 06/2019
  Maryott For Congress
  San Juan Capistrano, CA
• 06/2019 → 11/2025
  Empower Financial Services, Inc.
  Gilbert, AZ
• 11/2025 → Present
  Vanguard Marketing Corporation
  Scottsdale, AZ
• 11/2025 → Present
  Vanguard Advisers, Inc.
  Scottsdale, AZ
• 11/2025 → Present
  The Vanguard Group, Inc.
  Scottsdale, AZ

Previous Registrations

• 2019-07-16 → 2025-11-19
  Empower Advisory Group, Llc
  Laguna Niguel, CA
  Greenwood Village, CO
  Gilbert, AZ
• 2013-09-18 → 2018-01-30
  Wells Fargo Clearing Services, Llc
  Irvine, CA
  Lake Forest, CA
  Laguna Niguel, CA
  Mission Viejo, CA
• 2012-07-11 → 2012-07-16
  Key Investment Services Llc
  Barker, NY
  Buffalo, NY
  Middleport, NY
  Lockport, NY
  Medina, NY
  Buffalo, NY
• 2010-10-26 → 2012-07-11
  Hsbc Securities (Usa) Inc.
  Cheektowaga, NY
  Buffalo, NY
  Lockport, NY
  Cheektowaga, NY
  Wilson, NY
  Buffalo, NY
  Barker, NY
  Medina, NY
  Middleport, NY
  New York City, NY
• 2007-09-12 → 2010-10-20
  Wells Fargo Advisors Financial Network, Llc
  Williamsville, NY
• 2004-04-15 → 2005-09-20
  Lincoln Financial Distributors, Inc.
  Williamsville, NY
• 2003-01-08 → 2004-05-24
  Ofi Private Investments Inc
  New York, NY

Other Businesses

NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: GILBERT, AZ NATURE OF BUSINESS: LIFE INSURANCE LICENSE POSITION: N/A START DATE: 04/1990 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: GILBERT, AZ NATURE OF BUSINESS: VARIABLE LIFE & VARIABLE ANNUITY INSURANCE LICENSE POSITION: N/A START DATE: 04/1990 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY NAME OF BUSINESS: INSURANCE LICENSE INVESTMENT-RELATED ADDRESS: GILBERT, AZ NATURE OF BUSINESS: ACCIDENT & HEALTH INSURANCE LICENSE POSITION: N/A START DATE: 04/1990 APPROXIMATE HOURS/MONTH: 0 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MAINTAIN LICENSE ONLY

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-12-26
• S63 Uniform Securities Agent State Law Examination
  1987-12-02

Designations

• Certified Financial Planner

Other Names

• Rick Frank