Les David Frate

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2026-08-20
TX	RA	APPROVED_RES	2026-08-20

OH RA
APPROVED

Since 2026-08-20
TX RA
APPROVED_RES

Since 2026-08-20

Branch Locations

9930 Johnnycake Ridge Rd. Bldg. 2A, Mentor, OH 44060 • 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

Organization	City	State	From	To
Stifel Independent Advisors, Llc	Mayfield Village	OH	01/2004	08/2026
Equitable Advisors, Llc	Mentor	OH	08/2026	Present

01/2004 → 08/2026

Stifel Independent Advisors, Llc

Mayfield Village, OH
08/2026 → Present

Equitable Advisors, Llc

Mentor, OH

Previous Registrations

2004-01-28 → 2026-08-20

Stifel Independent Advisors, Llc

Mentor, OH

Mayfield Village, OH

Cleveland, OH

St. Louis, MO
2003-05-15 → 2004-01-21

Wells Fargo Clearing Services, Llc

Willoughby, OH

Other Businesses

1. Frate Financial;11573 Olde Stone Ct Concord OH 44077;I receive my Stifel Independent paychecks in and pay monthly bills out; Manager; Deposit Stifel Independent pay;6/10/2008; 10 hr/day; not during securities trading hours; investment related. 2. Les David Frate TTEE Frate Financial 401k PSP and DB Plans; 11573 Olde Stone Ct Concord OH 44077; Registered Rep- financial planning; Trustee/owner; manage assets; 01/01/2024; 0 hrs/day; Not during securities trading hours; Investment-Related

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-06-07
S63	Uniform Securities Agent State Law Examination	1993-10-28

S65 Uniform Investment Adviser Law Examination

2006-06-07
S63 Uniform Securities Agent State Law Examination

1993-10-28

View on SEC IAPD