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Dana Renee O'toole

Dana R. O'toole

FROST INVESTMENT SERVICES
KINGWOOD, TX 77339
Some features on this profile are disabled
CRD#: 2463769
Dana Renee O'toole

Professional summary

Dana Renee O'toole, who also goes by Dana Finnell, Dana Renee Smith, Dana Renee Thompson, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Kingwood, Texas and FROST BROKERAGE SERVICES, INC. located in Kingwood, Texas.

Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Dana has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dana Finnell | Dana Renee Smith | Dana Renee Thompson

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.
Hilltop Meadows, LLC; Non-investment related; Cleburne, TX; Family real estate; Partner; March 2021; Approximately 1 hour/month; None during market hours; Partnership with siblings to sell inherited family property.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dana Renee O'toole'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 25, 2024 - Present

FROST INVESTMENT SERVICES

Office #1: 2710 W Lake Houston Pkwy Ste 100, Kingwood, TX 77339
RIA
CRD#: 286129
KINGWOOD, TX
Current

January 25, 2024 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 2710 W Lake Houston Pkwy Ste 100, Kingwood, TX 77339
BD
CRD#: 17465
Kingwood, TX
Past

April 30, 2021 - January 23, 2024

EDWARD JONES

RIA
CRD#: 250
KINGWOOD, TX
Past

April 30, 2021 - January 23, 2024

EDWARD JONES

BD
CRD#: 250
KINGWOOD, TX
Past

October 1, 2012 - April 29, 2021

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
KINGWOOD, TX
Past

October 1, 2012 - April 29, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
KINGWOOD, TX
Past

July 23, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
PASADENA, TX
Past

July 23, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
PASADENA, TX
Past

July 25, 2008 - July 12, 2012

EDWARD JONES

RIA
CRD#: 250
KINGWOOD, TX
Past

July 25, 2006 - July 12, 2012

EDWARD JONES

BD
CRD#: 250
KINGWOOD, TX
Past

August 23, 1995 - October 30, 1995

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

December 5, 1994 - August 23, 1995

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848
SMITHFIELD, RI

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".
FI
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.
RR
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

RR
Hawaii
(2/1/2024)
RR
South Dakota
(2/9/2024)
RR
Texas
(1/25/2024)
IAR
Texas
(1/25/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/22/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/27/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/2/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FI
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts3,179
AUM (Assets Under Management)$ 2,976,654,932

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

FROST INVESTMENT SERVICES

CRD#: 286129Kingwood, TX 77339

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