Frank T. Troise

SOHO FINANCIAL SERVICES LLC

Montecito, CA 93108

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CRD#: 2417914

Professional summary

Frank Thomas Troise, who also goes by Frank T Troise, Frank Troise, is a registered financial advisor currently at SOHO FINANCIAL SERVICES LLC located in Montecito, California.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Frank has worked at 6 firms and has passed the Series 65, Series 66, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank T Troise | Frank Troise

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) A PRINCIPAL OF SOHO CAPITAL LLC AND SOHO ASSET MANAGEMENT LLC MANAGEMENT CONSULTING FIRMS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Thomas Troise'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 25, 2018 - Present

SOHO FINANCIAL SERVICES LLC

Office #1: 1187 Coast Village Road Suite 546, Montecito, CA 93108

RIA

CRD#: 142510

Montecito, CA

Past

February 9, 2015 - December 31, 2015

SOHO CAPITAL LLC

RIA

CRD#: 128151

MONTECITO, CA

Past

February 9, 2015 - December 31, 2015

SOHO ASSET MANAGEMENT LLC

RIA

CRD#: 146256

MONTECITO, CA

Past

February 8, 2013 - December 31, 2014

SOHO CAPITAL LLC

RIA

CRD#: 128151

HENDERSON, NV

Past

February 8, 2013 - December 31, 2014

SOHO ASSET MANAGEMENT LLC

RIA

CRD#: 146256

HENDERSON, NV

Past

February 8, 2013 - December 31, 2017

SOHO FINANCIAL SERVICES LLC

RIA

CRD#: 142510

HENDERSON, NV

Past

February 21, 2012 - December 31, 2012

SOHO FINANCIAL SERVICES LLC

RIA

CRD#: 142510

LOS OLIVOS, CA

Past

March 10, 2008 - December 31, 2010

SOHO ASSET MANAGEMENT LLC

RIA

CRD#: 146256

LOS OLIVOS, CA

Past

April 2, 2007 - June 27, 2008

SILVER LEAF PARTNERS, LLC

CRD#: 126694

NEW YORK, NY

Past

January 26, 2007 - December 31, 2010

SOHO FINANCIAL SERVICES LLC

RIA

CRD#: 142510

LOS OLIVOS, CA

Past

January 4, 2007 - December 31, 2010

SOHO CAPITAL LLC

RIA

CRD#: 128151

LOS OLIVOS, CA

Past

October 14, 2003 - December 31, 2006

SOHO CAPITAL LLC

RIA

CRD#: 128151

SANTA MONCIA, CA

Past

July 11, 2003 - April 28, 2005

STROME SECURITIES, L.P.

CRD#: 29682

SANTA MONICA, CA

Past

October 21, 1998 - December 23, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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

California
(10/25/2018)

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: 5/23/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/20/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1998

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/20/1993

National Commodity Futures Examination

Current Firm

SOHO FINANCIAL SERVICES LLC

MY NEW FINANCIAL ADVISOR | SOHO FINANCIAL SERVICES LLC

CRD#: 142510 / SEC#: 801-79526

RIA

Registered Investment Advisory firm - (9/24/2014 Terminated)

California

Registered Investment Advisory firm - (10/25/2018 Approved)

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

1187 Coast Village Road Suite 546, Montecito, CA 93108

Mailing Address

Phone number

(775) 722-9577

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,300,000

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

Frank T. Troise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SOHO CAPITAL LLC

SOHO ASSET MANAGEMENT LLC

SOHO CAPITAL LLC

SOHO ASSET MANAGEMENT LLC

SOHO FINANCIAL SERVICES LLC

SOHO FINANCIAL SERVICES LLC

SOHO ASSET MANAGEMENT LLC

SILVER LEAF PARTNERS, LLC

SOHO FINANCIAL SERVICES LLC

SOHO CAPITAL LLC

SOHO CAPITAL LLC

STROME SECURITIES, L.P.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2003

Series 66

Date: 11/20/1998

Series 7

Date: 10/17/1998

Series 3

Date: 10/20/1993

Current Firm

SOHO FINANCIAL SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOHO FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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