Thomas R. Frank

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CRD#: 4173610

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.

Thomas Robert Frank III, who also goes by Thomas Robert Frank III, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 21, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Robert Frank Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 8, 2020 - December 31, 2021

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

Tampa, FL

Past

January 8, 2018 - July 30, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

Tampa, FL

Past

June 2, 2015 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

TAMPA, FL

Past

April 14, 2015 - June 8, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

TAMPA, FL

Past

April 9, 2014 - February 9, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

TAMPA, FL

Past

March 3, 2009 - April 12, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT PETERSBURG, FL

Past

June 12, 2007 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ST PETERSBURG, FL

Past

July 24, 2006 - April 12, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST PETERSBURG, FL

Past

April 23, 2001 - April 24, 2006

BEAR WAGNER SPECIALISTS LLC

CRD#: 32691

NEW YORK, NY

Past

August 1, 1995 - April 23, 2001

WSM HOLDINGS, L.L.C.

CRD#: 31352

NEW YORK, NY

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".

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/18/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 21

Date: 3/12/2002

NYSE Front Line Specialist Clerk

Principal/Supervisory Exam

Series 24

Date: 3/6/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/6/2004

Registered Options Principal Examination

Current Firm

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Mailing Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Phone number

(800) 531-7960

Established

Delaware since 09/01/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

152

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ISCO PART2A INVESTMENT SERVICES BROCHURE MAY 2025 (5/29/2025)

ISCO FOMR ADV PART 2B BROCHURE SUPPLEMENT MARCH 2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
USAA INVESTMENT CORPORATION (PARENT CO.)	SHAREHOLDER
BEALL, KEVIN DOUGLAS	VICE PRESIDENT, DIRECTOR	4202452
CARTER, BRANDON DANE	DIRECTOR, CHAIRMAN OF THE BOARD	2939393
ECK, FRANK THOMAS IV	SECRETARY	7979835
FLORES, JENNIFER MARGRET	FINOP AND PRINCIPAL FINANCIAL OFFICER	4175069
HANKS, KARE ELIZABETH	DIRECTOR, VICE PRESIDENT	2883762
MUIR, JAMES DYER	CHIEF COMPLIANCE OFFICER	2801996
PEREZ-ROSSELLO, MADELINE IVETTE	ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4033239
STORK, MARY ELIZABETH	DIRECTOR	2960253
WHITE, WILLIAM SWEENEY	PRESIDENT, VICE-CHAIRMAN, DIRECTOR	4843743

Disclosures

Regulatory Event	1
Arbitration	4

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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Firm Stability Insights

Thomas R. Frank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

NYLIFE SECURITIES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BEAR WAGNER SPECIALISTS LLC

WSM HOLDINGS, L.L.C.

Primary Firm SEC Registration

USAA INVESTMENT SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2015

SIE

Date: 10/1/2018

Series 7

Date: 2/12/2003

Series 21

Date: 3/12/2002

Series 24

Date: 3/6/2007

Series 4

Date: 4/6/2004

Current Firm

USAA INVESTMENT SERVICES COMPANY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

USAA INVESTMENT SERVICES COMPANY

TRUST BUT VERIFY

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