Thomas Franks

EMMANUEL CAPITAL MANAGEMENT

Pittsurgh, PA

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CRD#: 1228623

Professional summary

Thomas Franks is a registered financial advisor currently at EMMANUEL CAPITAL MANAGEMENT, LLC located in Pittsurgh, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Thomas has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Franks's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 5, 2006 - Present

EMMANUEL CAPITAL MANAGEMENT, LLC

RIA

CRD#: 139985

Pittsurgh, PA

Past

February 5, 1985 - January 31, 1992

FEDERATED SECURITIES CORP.

CRD#: 5009

Past

March 22, 1984 - March 25, 1985

MANAGED INVESTMENTS, INC.

CRD#: 2640

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(10/5/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Current Firm

EMMANUEL CAPITAL MANAGEMENT, LLC

CRD#: 139985 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (10/5/2006 Approved)

Texas

Registered Investment Advisory firm - (12/8/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Pittsurgh, PA

Mailing Address

Phone number

(412) 223-2410

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 23,900,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas Franks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Franks's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMMANUEL CAPITAL MANAGEMENT, LLC

FEDERATED SECURITIES CORP.

MANAGED INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/10/1984

Series 7

Date: 3/17/1984

Current Firm

EMMANUEL CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMMANUEL CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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