Harvey T. Fladeland

FROST INVESTMENT SERVICES

ROCKWALL, TX 75032

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CRD#: 1874755

Professional summary

Harvey Ted Fladeland, who also goes by Harvey T Fladeland, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Rockwall, Texas and FROST BROKERAGE SERVICES, INC. located in Rockwall, Texas.

Harvey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Harvey has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Harvey T Fladeland

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 Harvey Ted Fladeland'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®

None

Experience

Current

October 1, 2025 - Present

FROST INVESTMENT SERVICES

Office #1: 3092 Horizon Rd, Rockwall, TX 75032

RIA

CRD#: 286129

ROCKWALL, TX

Current

March 11, 2025 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 3092 Horizon Road, Rockwall, TX 75032

CRD#: 17465

ROCKWALL, TX

Past

March 26, 2019 - March 13, 2025

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

September 5, 2007 - March 27, 2019

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

JERSEY CITY, NJ

Past

December 19, 2006 - September 6, 2007

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

HEATH, TX

Past

December 10, 2003 - December 31, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 10, 2003 - January 24, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 31, 2001 - July 9, 2003

INVESCO

RIA

CRD#: 106529

DENVER, CO

Past

September 12, 2000 - July 9, 2003

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

February 8, 1999 - September 18, 2000

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

May 4, 1998 - January 11, 1999

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

December 5, 1994 - May 11, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

April 4, 1994 - December 9, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 30, 1992 - April 27, 1994

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

February 1, 1991 - June 30, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 5, 1990 - February 11, 1991

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

March 21, 1989 - December 11, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 19, 1988 - November 5, 1988

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 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
(8/8/2025)

Minnesota
(8/8/2025)

Texas
(3/11/2025)

IAR

Texas
(10/1/2025)

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: 9/30/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/24/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/2/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/6/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

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	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	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.

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Advisor Monitoring

Firm Stability Insights

Harvey T. Fladeland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harvey Ted Fladeland's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

TOUCHSTONE SECURITIES, INC.

EQUITABLE DISTRIBUTORS, LLC

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

INVESCO

INVESCO DISTRIBUTORS, INC.

MFS FUND DISTRIBUTORS, INC.

WELLS FARGO SECURITIES INC.

PIPER SANDLER & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BA INVESTMENT SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

INVEST FINANCIAL CORPORATION

LEHMAN BROTHERS INC.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2025

Series 63

Date: 10/19/1988

SIE

Date: 10/1/2018

Series 3

Date: 4/24/1989

Series 7

Date: 10/15/1988

Series 24

Date: 8/2/2004

Series 8

Date: 2/6/1995

FINRA

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

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