Evans S. Attwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Evans Scott Attwell was a registered financial professional .
Evans is a previously registered financial professional and started their career in finance in 1983. Evans had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2022 - July 25, 2025
FROST INVESTMENT SERVICES
June 22, 2017 - December 31, 2021
FROST INVESTMENT SERVICES
May 25, 2012 - July 25, 2025
FROST BROKERAGE SERVICES, INC.
May 29, 2007 - February 2, 2012
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - February 2, 2012
CITIGROUP GLOBAL MARKETS INC.
March 14, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 9, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 23, 2001 - December 11, 2001
FROST SECURITIES, INC.
December 21, 1994 - January 7, 1999
J.P. MORGAN SECURITIES INC.
December 22, 1993 - December 21, 1994
J.P. MORGAN SECURITIES OF TEXAS, INC.
December 21, 1983 - June 17, 1986
RAUSCHER PIERCE REFSNES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
