Mark A. Frugoni

FOCUS WEALTH ADVISORS | Managing Principal & CEO

Houston, TX 77056

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CRD#: 2219734

Professional summary

Mark Andrew Frugoni is a registered financial advisor currently at FOCUS WEALTH ADVISORS, LLC located in Houston, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

What are your service offerings?

Institutional consulting

Trading individual securities

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

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 Mark Andrew Frugoni'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 10, 2013 - Present

FOCUS WEALTH ADVISORS, LLC

Office #1: 2200 Post Oak Boulevard Suite 1000, Houston, TX 77056

RIA

CRD#: 165425

Houston, TX

Past

March 31, 2011 - July 15, 2013

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

HOUSTON, TX

Past

November 4, 2004 - April 5, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DEER PARK, TX

Past

November 4, 2004 - April 5, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DEER PARK, TX

Past

September 14, 1995 - November 1, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HOUSTON, TX

Past

September 7, 1995 - November 1, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

FOCUS WEALTH ADVISORS, LLC

ADDERACK WEALTH MANAGEMENT, LLC | FOCUS WEALTH ADVISORS, LLC

CRD#: 165425 / SEC#: 801-77462

RIA

Registered Investment Advisory firm - (1/2/2013 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.

Highlighted states indicate IAR registrations

IAR

Texas
(1/10/2013)

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

IAR

Series 65

Date: 10/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/19/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/6/1995

General Securities Representative Examination

Current Firm

FOCUS WEALTH ADVISORS, LLC

ADDERACK WEALTH MANAGEMENT, LLC | FOCUS WEALTH ADVISORS, LLC

CRD#: 165425 / SEC#: 801-77462

RIA

Registered Investment Advisory firm - (1/2/2013 Approved)

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Contact information

Main Address

2200 Post Oak Boulevard Suite 1000, Houston, TX 77056

Mailing Address

Phone number

(713) 800-7170

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOCUS WEALTH ADVISORS DISCLOSURE BROCHURE (2/26/2025)

Regulatory assets under management

Total Number of Accounts	355
AUM (Assets Under Management)	$ 273,817,922

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark A. Frugoni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Andrew Frugoni's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCERT WEALTH MANAGEMENT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FOCUS WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/1995

Series 63

Date: 9/13/1995

Series 31

Date: 6/19/2009

Series 7

Date: 9/6/1995

Current Firm

FOCUS WEALTH ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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