Frank D. Szymanek

NORTH PIER FIDUCIARY MANAGEMENT

Marina Del Rey, CA 90292

Some features on this profile are disabled

CRD#: 4119043

Professional summary

Frank Donald Szymanek, CFP®, CIMA® is a registered financial advisor currently at NORTH PIER FIDUCIARY MANAGEMENT, LLC located in Marina Del Rey, California.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Frank has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Donald Szymanek'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®

CFP^®

Certified Financial Planner

Start date: 2007

CIMA^®

Certified Investment Management Analyst

Experience

Current

February 22, 2022 - Present

NORTH PIER FIDUCIARY MANAGEMENT, LLC

Office #1: 4333 Admiralty Way Unit G1, Marina Del Rey, CA 90292

RIA

CRD#: 148128

Marina Del Rey, CA

Past

July 27, 2016 - July 6, 2017

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA

CRD#: 105780

Chicago, IL

Past

February 29, 2000 - March 17, 2017

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

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".

NORTH PIER FIDUCIARY MANAGEMENT, LLC

CRD#: 148128 / SEC#: 801-69545

RIA

Registered Investment Advisory firm - (9/8/2008 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

California
(2/22/2022)

IAR

Illinois
(2/22/2022)

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

Series 63

Date: 3/8/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/9/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/28/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/29/2004

General Securities Principal Examination

Current Firm

NORTH PIER FIDUCIARY MANAGEMENT, LLC

CRD#: 148128 / SEC#: 801-69545

RIA

Registered Investment Advisory firm - (9/8/2008 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

4333 Admiralty Way Unit G1, Marina Del Rey, CA 90292

Mailing Address

Phone number

(800) 403-7065

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NPFM - FORM ADV PART 2A - FIRM BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 1,106,583,614

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

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frank D. Szymanek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Donald Szymanek's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN TRUST INVESTMENTS, INCORPORATED

NORTHERN TRUST SECURITIES, INC.

Primary Firm SEC Registration

NORTH PIER FIDUCIARY MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/2000

SIE

Date: 3/17/2017

Series 7

Date: 2/9/2004

Series 6

Date: 2/28/2000

Series 24

Date: 3/29/2004

Current Firm

NORTH PIER FIDUCIARY MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTH PIER FIDUCIARY MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors