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Matthew James Frain

Fisher Investments

Tampa, FL

Plano, TX

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Current Employers
Fisher Investments

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-16
TX RA APPROVED 2024-04-11
  • FL RA
    APPROVED
    Since 2024-04-16
  • TX RA
    APPROVED
    Since 2024-04-11

Branch Locations

3109 W Martin L King Jr Blvd Ste 600, Tampa, FL 33607 • United States

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • 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
OrganizationCityStateFromTo
T. Rowe Price Tampa FL 05/2013 08/2017
Carillon Fund Distributors St Petersburg FL 09/2017 05/2022
Carillon Tower Advisors St Petersburg FL 09/2017 05/2022
Unemployed St. Petersburg FL 05/2022 11/2022
Empower Financial Services, Inc St. Petersburg FL 12/2022 04/2024
Empower Advisory Group, Llc Greenwood Village CO 01/2023 04/2024
Fisher Investments Tampa FL 04/2024 Present
  • 05/2013 → 08/2017
    T. Rowe Price
    Tampa, FL
  • 09/2017 → 05/2022
    Carillon Fund Distributors
    St Petersburg, FL
  • 09/2017 → 05/2022
    Carillon Tower Advisors
    St Petersburg, FL
  • 05/2022 → 11/2022
    Unemployed
    St. Petersburg, FL
  • 12/2022 → 04/2024
    Empower Financial Services, Inc
    St. Petersburg, FL
  • 01/2023 → 04/2024
    Empower Advisory Group, Llc
    Greenwood Village, CO
  • 04/2024 → Present
    Fisher Investments
    Tampa, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-14
  • S66 Uniform Combined State Law Examination
    2022-04-14
Other Names
  • Matt James Frain
  • Matthew Frain

View on SEC IAPD

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