Frank T. Gardner

WESTWOOD MANAGEMENT CORP

HOUSTON, TX 77024

Some features on this profile are disabled

CRD#: 2947950

Professional summary

Frank Theodore Gardner III, who also goes by Ted Gardner, is a registered financial advisor currently at WESTWOOD MANAGEMENT CORP located in Houston, Texas and SALIENT CAPITAL L.P. located in Houston, Texas.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Frank has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ted Gardner

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.

Westwood Management Corp.; Investment Related; Houston, TX; Investment Management; Senior Portfolio Manager; Start 11/21/2022, full time employment with Westwood Management Corp.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Theodore Gardner III'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

May 1, 2023 - Present

WESTWOOD MANAGEMENT CORP

Office #1: 10000 Memorial Drive Suite 650, Houston, TX 77024

RIA

CRD#: 110269

HOUSTON, TX

Current

July 22, 2011 - Present

SALIENT CAPITAL L.P.

Office #1: 10000 Memorial Drive Suite 650, Houston, TX 77024Office #2: 10000 Memorial Drive Suite 650, Houston, TX 77024

CRD#: 147912

Houston, TX

Past

February 17, 2011 - November 21, 2022

SALIENT CAPITAL ADVISORS, LLC

RIA

CRD#: 153914

HOUSTON, TX

Past

July 5, 2007 - July 1, 2010

TELEMUS INVESTMENT BROKERS, LLC

CRD#: 133957

HOUSTON, TX

Past

May 13, 2004 - June 25, 2007

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

HOUSTON, TX

Past

January 23, 2002 - May 26, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

January 4, 2002 - May 26, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

WESTWOOD MANAGEMENT CORP

CRD#: 110269 / SEC#: 801-18727

RIA

Registered Investment Advisory firm - (4/11/1983 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

Texas
(7/22/2011)

IAR

Texas
(5/1/2023)

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 66

Date: 1/21/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/18/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 86

Date: 10/6/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 7/3/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 1/3/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WESTWOOD MANAGEMENT CORP

CRD#: 110269 / SEC#: 801-18727

RIA

Registered Investment Advisory firm - (4/11/1983 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Crescent Court Suite 1200, Dallas, TX 75201

Mailing Address

Phone number

(214) 756-6900

Established

Firm type

Fiscal year end

# of Employees

103

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTWOOD MANAGEMENT CORP. INVESTMENT ADVISER BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	293
AUM (Assets Under Management)	$ 12,802,824,273

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frank T. Gardner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Theodore Gardner III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SALIENT CAPITAL L.P.

SALIENT CAPITAL ADVISORS, LLC

TELEMUS INVESTMENT BROKERS, LLC

RAYMOND JAMES & ASSOCIATES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

WESTWOOD MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 66

Date: 1/21/2002

SIE

Date: 10/1/2018

Series 3

Date: 12/18/2012

Series 86

Date: 10/6/2004

Series 87

Date: 7/3/2004

Series 7

Date: 1/3/2002

FINRA

Current Firm

WESTWOOD MANAGEMENT CORP

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTWOOD MANAGEMENT CORP

TRUST BUT VERIFY

Similar Advisors