Tom L. Stringfellow
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.
Tom Lynn Stringfellow was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 2006. Tom had worked at 2 firms and has passed the Series 63, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2008 - February 3, 2021
FROST INVESTMENT ADVISORS, LLC
January 5, 2006 - October 9, 2013
FROST BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
FROST INVESTMENT ADVISORS, LLC
CRD#: 146148 / SEC#: 801-68724
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
Current Firm
FROST INVESTMENT ADVISORS, LLC
CRD#: 146148 / SEC#: 801-68724
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 5,435,683,122 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/09/2023 | ||
| 12/09/2022 |
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.
