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Frost Investment Services CRD 286129
$3.67B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
111 West Houston Street, San Antonio, TX 78205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-28 |
Branch Locations
1700 Post Oak Blvd Ste 120, Houston, TX 77056 • United States
111 West Houston Street, San Antonio, TX 78205 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Houston | TX | 07/2017 | 10/2018 |
| Principal Securities Inc | Houston | TX | 07/2017 | 10/2018 |
| Unemployed | Houston | TX | 05/2016 | 12/2016 |
| Horn Solutions | Sugarland | TX | 01/2017 | 05/2017 |
| Frost Brokerage Services | Houston | TX | 10/2018 | 07/2019 |
| Frost Investment Services | Houston | TX | 10/2018 | 07/2019 |
| Frost Bank | Houston | TX | 10/2018 | 07/2019 |
| Frost Bank | Houston | TX | 07/2019 | Present |
| Frost Brokerage Services | Houston | TX | 07/2019 | Present |
(1) Frost Bank - Frost Wealth Advisors; Investment related; 1700 Post Oak Blvd, Houston, TX 77056; Fiduciary and Administrative Financial Services; Retirement Services Administrator; Started 7/2019; Approx. 120-160hrs/mo; Approx. 120-160hrs/mo; Manage and maintain investment accounts, including IRAs, retirement plans, and custody relationships, in an operational and administrative capacity. Ensure compliance, maintain accurate records, and do not provide security recommendations or portfolio management, which is handled by assigned portfolio managers. The role is salaried with no commission-based earnings or compensation tied to investment recommendations.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-10-04 |
| S63 | Uniform Securities Agent State Law Examination | 2002-02-04 |
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