Anthony A. Sacco

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CRD#: 4576798

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.

Anthony Allen Sacco, who also goes by Tony A Sacco, Tony Allen Sacco Mr., Anthony A Sacco, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2002. Anthony had worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony A Sacco | Tony Allen Sacco Mr. | Anthony A Sacco

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) Frost Bank - Frost Wealth Advisors; Investment related; 111 West Houston Street, San Antonio, TX 78205; Fiduciary and Administrative Financial Services; Retirement Services Business Development Officer; Started 12/2022; Approx. 120-160hrs/mo; Approx. 120-160hrs/mo; Manage and maintain investment accounts, including IRAs, retirement plans, and custody relationships, in an operational and administrative capacity. Ensure compliance, maintain accurate records, and do not provide security recommendations or portfolio management, which is handled by assigned portfolio managers. The role is salaried with no commission-based earnings or compensation tied to investment recommendations.

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

December 22, 2022 - October 17, 2025

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

HOUSTON, TX

Past

December 22, 2022 - October 17, 2025

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

HOUSTON, TX

Past

February 4, 2022 - October 21, 2022

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Missouri City, TX

Past

July 22, 2021 - September 9, 2021

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Missouri City, TX

Past

July 22, 2021 - October 21, 2022

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

June 11, 2020 - July 16, 2021

USI ADVISORS

RIA

CRD#: 108113

Houston, TX

Past

June 11, 2020 - July 16, 2021

USI SECURITIES, INC.

CRD#: 43793

GLASTONBURY, CT

Past

July 26, 2005 - May 19, 2020

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

HOUSTON, TX

Past

February 3, 2005 - May 19, 2020

PRINCIPAL SECURITIES, INC.

CRD#: 1137

HOUSTON, TX

Past

October 15, 2002 - May 5, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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 65

Date: 7/22/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/2002

General Securities Representative Examination

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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

Anthony A. Sacco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

EMPOWER ADVISORY GROUP, LLC

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

USI ADVISORS

USI SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

EDWARD JONES

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2005

Series 63

Date: 10/17/2002

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/14/2002

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

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