SF
Samuel D. Frankfort
CORIENT
Houston, TX 77019
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CRD#: 2773755
SF
Professional summary
Samuel D Frankfort, who also goes by Samuel David Frankfort, is a registered financial advisor currently at CORIENT located in Houston, Texas.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Samuel has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel David Frankfort
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.
HOUSTON SYMPHONY, 615 LOUISIANA STREET, SUITE 101, TRUSTEE, GENERAL MANAGER AND OVERSIGHT OF THE HOUSTON SYMPHONY, COMMENCEMENT DATE - 1/01/2009, NO COMPENSATION, NOT DURING TRADING HOURS
Bredman Carus Board of trustees. Not compensated. Not investment or securities related. 0 hours during trading day. 5 hours per month devoted. Began March 2020.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel D Frankfort'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®
NoneExperience
Current
January 19, 2024 - Present
CORIENT
Office #1: 2929 Allen Parkway L14-80, Houston, TX 77019RIA
CRD#: 319448
Houston, TX
Past
May 22, 2020 - February 15, 2024
ROCKEFELLER FINANCIAL LLC
RIA
CRD#: 291361
Houston, TX
Past
May 22, 2020 - February 15, 2024
ROCKEFELLER FINANCIAL LLC
BD
CRD#: 291361
Houston, TX
Past
September 6, 2016 - May 27, 2020
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
Houston, TX
Past
September 6, 2016 - May 27, 2020
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
Houston, TX
Past
August 5, 2011 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
HOUSTON, TX
Past
August 5, 2011 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
HOUSTON, TX
Past
May 25, 2009 - August 9, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
November 24, 2008 - August 9, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOUSTON, TX
Past
September 19, 2005 - December 10, 2008
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
February 5, 2003 - September 1, 2005
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
HOUSTON, TX
Past
May 27, 2002 - September 1, 2005
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
September 3, 1998 - July 6, 2000
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
July 27, 1998 - August 17, 1998
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
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".
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
Registered Investment Advisory firm - (5/12/2022 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.Highlighted states indicate IAR registrations
IAR
Texas(1/19/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CO
CORIENT
BALASA DINVERNO & FOLTZ | WINDSOR WEALTH MANGMENT | RGT WEALTH ADVISORS | REGENTATLANTIC | R.H. BLUESTEIN & CO | PORTOLA PARTNERS GROUP | PORTOLA PARTNERS | NTERCONTINENTAL WEALTH ADVISORS | MCCUTCHEN WEALTH MANAGEMENT | MCCUTCHEN GROUP | MATRIX CAPITAL ADVISORS | GOFEN AND GLOSSBERG | GALAPAGOS WEALTH MANAGEMENT | DOYLE WEALTH MANAGEMENT | DOWLING & YAHNKE WEALTH ADVISORS | CORIENT PRIVATE WEALTH LLC | CORIENT CAPITAL PARTNERS | CORIENT | CI SUREVEST PRIVATE WEALTH | CI STAVIS & COHEN PRIVATE WEALTH | CI SEGALL BRYANT & HAMILL PRIVATE WEALTH | CI ROOSEVELT PRIVATE WEALTH | CI RGT PRIVATE WEALTH | CI REGENTATLANTIC PRIVATE WEALTH | CI RADNOR PRIVATE WEALTH | CI PRIVATE WEALTH, LLC | CI PRIVATE WEALTH | CI PORTOLA PRIVATE WEALTH | CI MCCUTCHEN PRIVATE WEALTH | CI MATRIX PRIVATE WEALTH | CI KORE PRIVATE WEALTH | CI INVERNESS PRIVATE WEALTH | CI GOFEN & GLOSSBERG PRIVATE WEALTH | CI GALAPAGOS PRIVATE WEALTH | CI EATON PRIVATE WEALTH | CI DOYLE PRIVATE WEALTH | CI DOWLING & YAHNKE PRIVATE WEALTH | CI CORIENT PRIVATE WEALTH | CI COLUMBIA PACIFIC PRIVATE WEALTH | CI BUDROS RUHLIN ROE PRIVATE WEALTH | CI BRIGHTWORTH PRIVATE WEALTH | CI BOWLING PRIVATE WEALTH | CI BLUESTEIN PRIVATE WEALTH | CI BDF PRIVATE WEALTH | CI BDF | CI BARRETT PRIVATE WEALTH | CI AVALON PRIVATE WEALTH | BUDROS, RUHLIN & ROE | BRR | BOWLING PORTFOLIO MANGEMENT
CRD#: 319448 / SEC#: 801-124978
RIA
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Contact information
Main Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Mailing Address
830 Brickell Plaza Suite 4800, Miami, FL 33131
Phone number
(305) 735-2020
Established
Firm type
Fiscal year end
# of Employees
1,181
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 109,685 |
| AUM (Assets Under Management) | $ 143,628,532,902 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/28/2024 | ||
| 10/27/2023 | ||
| 05/03/2023 |
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.
