Craig Howard Frank

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2011 → 03/2020
  Ameriprise Financial Services, Inc.
  New York, NY
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Harrison, NY

Previous Registrations

• 2002-07-29 → 2002-07-31
  Raymond James Financial Services, Inc.
  New York, NY
  New York, NY
  Scarsdale, NY

Other Businesses

Independent Insurance Brokering; guardian; 01/01/2001; / Emblem; 12/02/2019; / mass mutual; 01/02/1995; Group / oxford; 01/01/2001; . Business Ownership; Frank Financial Group LLC; ; This LLC does not have any activities, but I am paid through this entity.; 453 Halstead Avenue, Apt #1, Mamaroneck, NY 10543, ,; Not Investment-Related; 01/01/2002; 1 to 9 hours per month; 0 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-04-12
• S63 Uniform Securities Agent State Law Examination
  1987-09-25