Frank L. Arias

F. L. ARIAS & ASSOCIATES

Chandler, AZ

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CRD#: 3228001

Professional summary

Frank Lawrence Arias, who also goes by Francisco L Arias, Frank L Arias, is a registered financial advisor currently at F. L. ARIAS & ASSOCIATES, LLC located in Chandler, Arizona.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Frank has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francisco L Arias | Frank L Arias

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.

INDEPENDENT INSURANCE AGENT SINCE 06/2007; CHANDLER, AZ; 10 HOURS PER MONTH DURING TRADING HOURS; SALE OF INSURANCE PRODUCTS AND SERVICES. UNITED HEALTHCARE; WELLNESS COACH SINCE 02/2011; NON-INVESTMENT RELATED; 160 HOURS PER MONTH WITH 20 HOURS DURING MARKET HOURS; HEALTH ASSESSMENTS FOR CLIENTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Lawrence Arias'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®

None

Experience

Current

July 9, 2012 - Present

F. L. ARIAS & ASSOCIATES, LLC

RIA

CRD#: 164185

Chandler, AZ

Past

June 4, 2009 - September 10, 2010

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

SCOTTSDALE, AZ

Past

December 16, 2008 - September 10, 2010

CENTAURUS FINANCIAL, INC.

CRD#: 30833

SCOTTSDALE, AZ

Past

November 9, 1999 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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

Arizona
(7/9/2012)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/14/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/15/2008

General Securities Representative Examination

Current Firm

F. L. ARIAS & ASSOCIATES, LLC

CRD#: 164185 / SEC#:

Arizona

Registered Investment Advisory firm - (7/9/2012 Approved)

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Contact information

Main Address

Chandler, AZ

Mailing Address

Phone number

(602) 348-5805

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Frank L. Arias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Lawrence Arias's CRS (Customer Relationship Summary).

Certified licenses

Experience

F. L. ARIAS & ASSOCIATES, LLC

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2009

Series 63

Date: 11/22/1999

Series 7

Date: 12/15/2008

Current Firm

F. L. ARIAS & ASSOCIATES, LLC

Contact information

Documents

Red Flags

Company Information

F. L. ARIAS & ASSOCIATES, LLC

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