PF
Phil Frohlich
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
TULSA, OK 74104
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CRD#: 4552964
PF
Professional summary
Phil Frohlich is a registered financial advisor currently at PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C. located in Tulsa, Oklahoma.
Phil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Phil has worked at 1 firm and has passed the Series 65 exam.
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.
MR. FROHLICH SINCE 1987 HAS BEEN EMPLOYED AS PRESIDENT AND CHIEF OPERATING OFFICER BY THE SIEGFRIED COMPANIES WHICH PROVIDES A VARIETY OF SERVICES TO THE SIEGFRIED FAMILY. MR FROHLICH'S DUTIES INCLUDE NOT ONLY THE MANAGEMENT OF MARKETABLE EQUITY SECURITIES BUT ALSO ENCOMPASS A VARIETY OF ASSET INVESTMENTS, INCLUDING, BUT NOT LIMITED TO, COMMERCIAL AND RESIDENTIAL REAL ESTATE DEVELOPMENT, AND VENTURE CAPITAL. THIS APPLICATION IS BEING FILED IN CONNECTION WITH THE COMPANY'S DECISION TO HOLD ITSELF OUT AS A FEDERALLY REGISTERED INVESTMENT ADVISOR TO HIGH-NET-WORTH INVESTORS UNRELATED TO THE COMPANY'S SHAREHOLDER BASE. ALTHOUGH MR. FROHLICH IS FORMALLY AN EMPLOYEE OF THE SIEGFRIED COMPANIES, AND HAS BEEN SINCE 1987, HE CURRENTLY SPENDS THE VAST MAJORITY OF HIS TIME DURING MARKET TRADING HOURS FOCUSED ON MARKETABLE EQUITY INVESTMENTS, WHICH INVESTMENTS HAVE BEEN SEGREGATED INTO AN AFFILIATED COMPANY, PRESCOTT GROUP CAPITAL MANAGEMENT,L.L.C.
CRS (Client Relationship Summary) - RIA
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 14, 2002 - Present
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
Office #1: 1924 South Utica Suite 1120, Tulsa, OK 74104RIA
CRD#: 115220
TULSA, OK
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".
PG
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
CRD#: 115220 / SEC#: 801-60650
RIA
Registered Investment Advisory firm - (10/22/2001 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
Oklahoma(1/14/2002)
Current Firm
PG
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
CRD#: 115220 / SEC#: 801-60650
RIA
Registered Investment Advisory firm - (10/22/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1924 S. Utica Ave Suite 1120, Tulsa, OK 74104
Mailing Address
Phone number
(918) 747-3412
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 861,720,013 |
Red Flags
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Company Information
PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.
CRD#: 115220Tulsa, OK 74104TRUST BUT VERIFY
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