Todd E. Frank

FRANK FINANCIAL ADVISORS

Carlsbad, CA 92010

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CRD#: 4225416

Professional summary

Todd Evan Frank is a registered financial advisor currently at FRANK FINANCIAL ADVISORS located in Carlsbad, California.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Todd has worked at 5 firms and has passed the Series 66, SIE, Series 7 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.

(1) SALE OF NON-VARIABLE LIFE, HEALTH & DISABILITY INSURANCE AND ANNUITIES; INVESTMENT RELATED; 2710 LOKER AVE., STE. 230, CARLSBAD, CA 92010; INSURANCE PRODUCTS; AGENT; 11/24/2003; 1 HR/MONTH; 1 HR/MONTH DURING SECURITIES HRS. (2) AXOS BANK; INVESTMENT RELATED; 2710 LOKER AVE., STE. 230, CARLSBAD, CA 92010; FDIC BANKING; MARKETING REP; 04/2016; 1 HR/MONTH; 1 HR/MONTH DURING SECURITIES HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Evan Frank'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

October 3, 2008 - Present

FRANK FINANCIAL ADVISORS

Office #1: 2710 Loker Avenue West Suite 230, Carlsbad, CA 92010

RIA

CRD#: 147537

Carlsbad, CA

Past

October 4, 2010 - April 29, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

CARLSBAD, CA

Past

January 13, 2003 - October 11, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

CARLSBAD, CA

Past

January 13, 2003 - October 11, 2010

LPL FINANCIAL LLC

CRD#: 6413

CARLSBAD, CA

Past

May 28, 2002 - January 24, 2003

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

LA JOLLA, CA

Past

March 9, 2002 - January 24, 2003

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 12, 2001 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

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".

FRANK FINANCIAL ADVISORS

FRANK FINANCIAL ADVISORS | FRANK FINANCIAL SERVICES

CRD#: 147537 / SEC#: 801-121668

RIA

Registered Investment Advisory firm - (7/2/2021 Approved)

California

Registered Investment Advisory firm - (8/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (7/12/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/20/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/8/2021 Terminated)

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.

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
(10/3/2008)

IAR

Louisiana
(3/27/2012)

IAR

Texas
(3/5/2020)

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: 2/21/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/29/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/29/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/16/2005

General Securities Principal Examination

Current Firm

FRANK FINANCIAL ADVISORS

FRANK FINANCIAL ADVISORS | FRANK FINANCIAL SERVICES

CRD#: 147537 / SEC#: 801-121668

RIA

Registered Investment Advisory firm - (7/2/2021 Approved)

California

Registered Investment Advisory firm - (8/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (7/12/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/20/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/8/2021 Terminated)

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Contact information

Main Address

2710 Loker Avenue West Suite 230, Carlsbad, CA 92010

Mailing Address

Phone number

(760) 438-3360

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

2025 ADV PART 2 (1/28/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 164,442,897

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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Advisor Monitoring

Firm Stability Insights

Todd E. Frank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Evan Frank's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

Primary Firm SEC Registration

FRANK FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2001

SIE

Date: 4/29/2016

Series 7

Date: 12/29/2000

Series 24

Date: 6/16/2005

Current Firm

FRANK FINANCIAL ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FRANK FINANCIAL ADVISORS

TRUST BUT VERIFY

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