Frank Joseph Marrone

Current Employers

Ria Advisors

11750 Katy Freeway Suite 840, Houston, TX 77079 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2018-11-20

TX RA
APPROVED

Since 2018-11-20

Branch Locations

11750 Katy Freeway Suite 840, Houston, TX 77079 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fieldstone Financial Management Group, Llc	Houston	TX	03/2016	11/2018
Clarity Financial, Llc Dba Ria Advisors	Houston	TX	11/2018	Present
Ria Wealth Advisors Llc	Houston	TX	08/2022	07/2023

03/2016 → 11/2018

Fieldstone Financial Management Group, Llc

Houston, TX
11/2018 → Present

Clarity Financial, Llc Dba Ria Advisors

Houston, TX
08/2022 → 07/2023

Ria Wealth Advisors Llc

Houston, TX

Previous Registrations

2022-08-15 → 2023-07-28

Ria Wealth Advisors, Llc

Round Rock, TX
2016-03-29 → 2018-11-27

Fieldstone Financial Management Group, Llc

Houston, TX

Foxboro, MA
2015-01-09 → 2016-05-04

Concert Wealth Management

Houston, TX

San Jose, CA
2010-03-05 → 2015-01-09

Sunbelt Securities, Inc.

Houston, TX

Houston, TX

Houston, TX
2005-07-18 → 2010-03-16

Ameriprise Financial Services, Llc

Houston, TX

Sugar Land, TX

Other Businesses

1) Agent with RIA Insurance Agency LLC -Compensation includes commission from Insurance Agency LLC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-07-15

S66 Uniform Combined State Law Examination

2005-07-15

Designations

View on SEC IAPD

Current Employers

Ria Advisors

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews