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Current Employers
Frost Investment Services

111 West Houston Street, San Antonio, TX 78205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-04-29
  • TX RA
    APPROVED_RES
    Since 2022-04-29

Branch Locations

111 West Houston Street, San Antonio, TX 78205 • United States

21011 Us Hwy 281 N, San Antonio, TX 78258 • 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
Frost Bank San Antonio TX 10/2008 Present
Frost Brokerage Services San Antonio TX 05/2012 Present
  • 10/2008 → Present
    Frost Bank
    San Antonio, TX
  • 05/2012 → Present
    Frost Brokerage Services
    San Antonio, TX
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-11-06
S66 Uniform Combined State Law Examination 2000-07-21
  • S63 Uniform Securities Agent State Law Examination
    2012-11-06
  • S66 Uniform Combined State Law Examination
    2000-07-21

View on SEC IAPD

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