Josh A. Frankel

TRUSTMONT ADVISORY GROUP

EAST SETAUKET, NY

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CRD#: 2634443

Professional summary

Josh Alan Frankel is a registered financial advisor currently at TRUSTMONT ADVISORY GROUP, INC. located in East Setauket, New York and TRUSTMONT FINANCIAL GROUP, INC. located in Greensburg, Pennsylvania.

Josh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Josh has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 26 exams.

Question & Answer

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.

FIXED INSURANCE THROUGH VARIOUS INSURANCE COMPANIES. DBA THE PRINCETON INSURANCE AGENCY, INC. 1 HOMECOMING PLACE E SETAUKET NY 11733.Start Date 05/15/2008. 15 HPM WITH 1HR DURING SECURITIES TRADING HOURS. DUTIES PROVIDE QUOTATIONS AND APPLICATIONS FOR FIXED INSURANCE PRODUCTS:LIFE, ANNUITIES, P&C INSURANCE AND DISABILITY PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josh Alan Frankel'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

July 30, 2019 - Present

TRUSTMONT ADVISORY GROUP, INC.

RIA

CRD#: 106015

EAST SETAUKET, NY

Current

July 18, 2019 - Present

TRUSTMONT FINANCIAL GROUP, INC.

Office #1: Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601

CRD#: 18312

Greensburg, PA

Past

January 24, 2017 - July 18, 2019

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

East Setauket, NY

Past

January 3, 2017 - July 18, 2019

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

East Setauket, NY

Past

September 13, 2012 - January 20, 2017

PARTNERS CAPITAL SERVICES, INC.

RIA

CRD#: 127621

HAUPPAUGE, NY

Past

November 18, 2010 - January 20, 2017

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249

HAUPPAUGE, NY

Past

March 26, 2010 - October 29, 2010

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

SYOSSET, NY

Past

November 17, 2009 - October 29, 2010

HSBC SECURITIES (USA) INC.

CRD#: 19585

SYOSSET, NY

Past

September 1, 2009 - October 20, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

MT. SINAI, NY

Past

January 2, 2009 - June 23, 2009

NORTH RIDGE SECURITIES CORP.

CRD#: 27098

EAST SETAUKET, NY

Past

January 30, 2008 - January 7, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

BOHEMIA, NY

Past

January 30, 2008 - January 7, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

BOHEMIA, NY

Past

June 8, 2006 - February 26, 2008

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

HUNTINGTON STATION, NY

Past

April 12, 2006 - February 26, 2008

HSBC SECURITIES (USA) INC.

CRD#: 19585

HUNTINGTON STATION, NY

Past

June 18, 1998 - April 3, 2006

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MT. SINAI, NY

Past

January 20, 1998 - April 3, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

July 31, 1997 - January 12, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

May 13, 1996 - July 9, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

May 12, 1996 - July 9, 1997

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

August 22, 1995 - October 10, 1995

PRESTON LANGLEY ASSET MANAGEMENT, INC.

CRD#: 35733

NEW YORK, 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".

TRUSTMONT ADVISORY GROUP, INC.

CRD#: 106015 / SEC#: 801-30694

RIA

Registered Investment Advisory firm - (11/27/1987 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

California
(7/18/2019)

Connecticut
(11/17/2022)

Florida
(7/18/2019)

Georgia
(7/18/2019)

Maryland
(7/18/2019)

Michigan
(7/18/2019)

New Jersey
(7/30/2019)

IAR

New Jersey
(7/30/2019)

New York
(7/18/2019)

IAR

New York
(2/23/2021)

Pennsylvania
(7/18/2019)

Texas
(7/18/2019)

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: 5/27/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/1995

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: 8/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 9/22/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/8/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 26

Date: 12/1/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TRUSTMONT ADVISORY GROUP, INC.

CRD#: 106015 / SEC#: 801-30694

RIA

Registered Investment Advisory firm - (11/27/1987 Approved)

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Contact information

Main Address

Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601

Mailing Address

Phone number

(724) 468-5665

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A 03-2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,387
AUM (Assets Under Management)	$ 1,126,006,619

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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Firm Stability Insights

Josh A. Frankel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josh Alan Frankel's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUSTMONT FINANCIAL GROUP, INC.

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

PARTNERS CAPITAL SERVICES, INC.

AMERICAN CAPITAL PARTNERS, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MML INVESTORS SERVICES, LLC

NORTH RIDGE SECURITIES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

INDEPENDENT FINANCIAL SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

PRESTON LANGLEY ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

TRUSTMONT ADVISORY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/1998

Series 63

Date: 8/28/1995

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1995

Series 9

Date: 9/22/2006

Series 10

Date: 8/8/2006

Series 26

Date: 12/1/1998

FINRA

Current Firm

TRUSTMONT ADVISORY GROUP, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUSTMONT ADVISORY GROUP, INC.

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