Thomas F. Brandino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Francis Brandino III, CFP®, who also goes by Thomas Francis Brandino, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
January 7, 2017 - April 23, 2018
FROST INVESTMENT SERVICES
June 9, 2008 - April 7, 2021
FROST BROKERAGE SERVICES, INC.
March 29, 2007 - November 20, 2007
C. GERACI & COMPANY
March 28, 2007 - January 16, 2008
D.H. HILL SECURITIES, LLLP
December 7, 2005 - February 16, 2007
ATLAS SECURITIES, LLC
April 19, 2005 - November 29, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
April 19, 2005 - November 29, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
March 6, 2003 - March 15, 2005
CHASE INVESTMENT SERVICES CORP.
March 6, 2003 - March 15, 2005
CHASE INVESTMENT SERVICES CORP.
June 28, 2002 - March 10, 2003
E*TRADE ADVISORY SERVICES, INC.
February 11, 2002 - March 10, 2003
E*TRADE SECURITIES LLC
July 9, 2001 - November 29, 2001
NEW ENGLAND SECURITIES
March 28, 2000 - June 1, 2001
INVESCO DISTRIBUTORS, INC.
April 28, 1999 - December 11, 1999
CHASE INVESTMENT SERVICES CORP.
November 6, 1996 - April 7, 1999
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/12/2024
General Securities Representative ExaminationCurrent Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
