Philip T. Frank
Professional summary
Philip Thomas Frank is a registered financial advisor currently at FAMILY MANAGE LLC located in New York, New York.
Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Philip has worked at 4 firms and has passed the Series 99TO, SIE, Series 55, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Philip Thomas Frank's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2021 - Present
FAMILY MANAGE LLC
Office #1: 155 E. 44th Street 21st Floor, New York, NY 10017March 31, 2011 - July 29, 2025
FAMILY MANAGEMENT SECURITIES, LLC
May 29, 2008 - April 18, 2011
CONSTELLATION WEALTH ADVISORS LLC
March 21, 2001 - March 29, 2005
CROWN FINANCIAL GROUP, INC.
Primary Firm SEC Registration
FAMILY MANAGE LLC
CRD#: 104951 / SEC#: 801-35943
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/5/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/1/2002
Limited Representative-Equity Trader ExamCurrent Firm
FAMILY MANAGE LLC
CRD#: 104951 / SEC#: 801-35943
Contact information
SEC notice filing (38 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,166 |
| AUM (Assets Under Management) | $ 4,404,570,486 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/20/2025 | ||
| 02/20/2025 | ||
| 06/28/2023 |
Red Flags
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