Ronald C. Tavarez

FROST INVESTMENT SERVICES

MCALLEN, TX 78504

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CRD#: 2173253

Professional summary

Ronald Clifford Tavarez, who also goes by Ronnie Tavarez, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Mcallen, Texas and FROST BROKERAGE SERVICES, INC. located in Mcallen, Texas.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Ronald has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ronnie Tavarez

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.

(1) Vannie E Cook Jr. Cancer Foundation, Inc.; Non-investment related; 101 W Expressway 83, McAllen, TX 78503; Philanthropy; Director of the Board and member of the Finance Committee; Started 5/2015; Approx. 1.5hrs/mo; Approx. 1.5hrs during securities trading hrs; Set overall policy and direction to the staff to fulfill the mission of providing cancer treatment to children in the Rio Grande Valley. On the Finance Committee, give guidance and input on investments, help craft the Investment Policy Statement and meet with the Investment Advisor, neither Frost or I handle any investments of the foundation. However, I do sit on the finance committee that reviews the Investment Policy and meets with the outside money manger (PNC Bank).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Clifford Tavarez'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

January 26, 2022 - Present

FROST INVESTMENT SERVICES

Office #1: 1901 W Nolana Ave, Mcallen, TX 78504

RIA

CRD#: 286129

MCALLEN, TX

Current

September 6, 1995 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 1901 W Nolana Ave, Mcallen, TX 78504

CRD#: 17465

MCALLEN, TX

Past

April 2, 2021 - December 31, 2021

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

MCALLEN, TX

Past

May 3, 2018 - October 11, 2018

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

MCALLEN, TX

Past

April 21, 2017 - April 23, 2018

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

MCALLEN, TX

Past

September 23, 1991 - August 31, 1995

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

HOUSTON, TX

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

Colorado
(2/23/2024)

Indiana
(12/13/2021)

Kansas
(11/20/2024)

Maine
(12/26/2023)

Missouri
(6/4/2025)

New York
(1/2/2024)

Texas
(9/7/1995)

IAR

Texas
(1/26/2022)

Wisconsin
(4/19/2023)

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 66

Date: 4/21/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1991

General Securities Representative Examination

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.

Contact information

xxxxx@xxxx.xxx

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Ronald C. Tavarez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Clifford Tavarez's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES

J.P. MORGAN SECURITIES OF TEXAS, INC.

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 4/21/2017

Series 63

Date: 8/23/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1991

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

Contact information

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