David Arlis Odom
Professional Summary
David Arlis Odom, who also goes by Dave Arlis Odom, David A Odom, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Spring, Texas and FROST BROKERAGE SERVICES, INC. located in The Woodlands, Texas. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Arlis Odom, David A Odom
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
31 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC
Contact Information
Main Address
111 West Houston Street, San Antonio, TX 78205Mailing Address
Po Box 2538, San Antonio, TX 78299Phone Number
(210) 220-5000# of Employees
177SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,656AUM (Assets Under Management)
$3,671,190,351Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2026 | Cover Page | Report |
| 12/12/2025 | Cover Page | Report |
| 10/10/2024 | Cover Page | Report |
| 11/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
(10/30/2018)
(1/28/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1995About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 1996About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Arlis Odom's CRS (Customer Relationship Summary).
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