Richard K. Frank

VANGUARD ADVISERS

SCOTTSDALE, AZ 85260

Some features on this profile are disabled

CRD#: 1768061

Professional summary

Richard Kevin Frank, CFP®, who also goes by Rick Frank, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Scottsdale, Arizona and VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 17 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Frank

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 Richard Kevin Frank's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

December 12, 2025 - Present

VANGUARD ADVISERS, INC.

Office #1: 14321 North Northsight Blvd, Scottsdale, AZ 85260

RIA

CRD#: 106715

SCOTTSDALE, AZ

Current

December 12, 2025 - Present

VANGUARD MARKETING CORPORATION

Office #1: 14321 N Northsight Blvd, Scottsdale, AZ 85260

CRD#: 7452

SCOTTSDALE, AZ

Past

July 16, 2019 - November 19, 2025

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Gilbert, AZ

Past

July 1, 2019 - November 19, 2025

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

September 18, 2013 - January 30, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MISSION VIEJO, CA

Past

September 18, 2013 - January 30, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MISSION VIEJO, CA

Past

July 11, 2012 - July 16, 2012

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

LOCKPORT, NY

Past

July 11, 2012 - September 30, 2013

KEY INVESTMENT SERVICES LLC

CRD#: 136300

LOCKPORT, NY

Past

October 26, 2010 - July 11, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

BUFFALO, NY

Past

October 26, 2010 - July 11, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

BUFFALO, NY

Past

September 12, 2007 - October 20, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

WILLIAMSVILLE, NY

Past

September 12, 2007 - October 20, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

WILLIAMSVILLE, NY

Past

April 15, 2004 - September 20, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA

CRD#: 145

WILLIAMSVILLE, NY

Past

April 15, 2004 - September 20, 2005

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 8, 2003 - May 24, 2004

OFI PRIVATE INVESTMENTS INC

RIA

CRD#: 107807

NEW YORK, NY

Past

October 3, 2000 - April 8, 2004

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

January 20, 2000 - August 31, 2000

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

March 2, 1998 - June 4, 1999

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

January 5, 1993 - February 13, 1998

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

March 23, 1992 - December 31, 1992

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

April 6, 1990 - October 9, 1992

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

November 25, 1987 - April 9, 1988

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(12/12/2025)

IAR

Arizona
(12/12/2025)

IAR

Texas
(12/12/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/26/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 1/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

Phone number

(610) 669-1000

Established

Firm type

Fiscal year end

# of Employees

2,225

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VANGUARD MODEL PORTFOLIOS (2/2/2026)

VANGUARD PERSONAL ADVISOR SELECT (1/2/2026)

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (1/2/2026)

VANGUARD SITUATIONAL ADVISOR BROCHURE (1/2/2026)

STABLE VALUE (9/29/2025)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (9/29/2025)

Regulatory assets under management

Total Number of Accounts	698,843
AUM (Assets Under Management)	$ 300,434,933,763

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/23/2024	Cover Page	Report
06/28/2023	Cover Page	Report

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard K. Frank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kevin Frank's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

OFI PRIVATE INVESTMENTS INC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CAPITAL BROKERAGE CORPORATION

FIS SECURITIES, INC.

KEY INVESTMENTS INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

J. W. GANT & ASSOCIATES, INC.

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/26/1995

Series 63

Date: 12/2/1987

Series 6TO

Date: 1/2/2023

SIE

Date: 1/30/2018

Series 7

Date: 11/21/1987

FINRA

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

Similar Advisors