Gilbert M. Araiza

FROST INVESTMENT SERVICES

HOUSTON, TX 77056

Some features on this profile are disabled

CRD#: 4667272

Professional summary

Gilbert Michael Araiza, CFP® is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Houston, Texas and FROST BROKERAGE SERVICES, INC. located in Houston, Texas.

Gilbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Gilbert has worked at 4 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 3 and Series 7 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) Frost Bank - Frost Wealth Advisors; Investment related; 111 West Houston Street, San Antonio, TX 78205; Fiduciary and Administrative Financial Services; Retirement Services Administrator; Started 01/2008; 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) - RIA

Click below to view Gilbert Michael Araiza'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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Current

January 28, 2022 - Present

FROST INVESTMENT SERVICES

Office #1: 1700 Post Oak Blvd Ste 120, Houston, TX 77056

RIA

CRD#: 286129

HOUSTON, TX

Current

May 29, 2008 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 1700 Post Oak Blvd, Houston, TX 77056

CRD#: 17465

HOUSTON, TX

Past

September 11, 2017 - December 31, 2021

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

HOUSTON, TX

Past

December 17, 2004 - December 31, 2007

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

HOUSTON, TX

Past

September 22, 2003 - December 31, 2005

JPMORGAN ASSET MANAGEMENT

RIA

CRD#: 107247

COLUMBUS, OH

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(5/29/2008)

IAR

Texas
(1/28/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/21/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/19/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/21/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/30/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/16/2004

General Securities Representative Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gilbert M. Araiza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gilbert Michael Araiza's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

FROST INVESTMENT SERVICES

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMORGAN ASSET MANAGEMENT

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 4/21/2005

Series 65

Date: 9/19/2003

Series 66

Date: 9/21/1999

SIE

Date: 10/1/2018

Series 3

Date: 3/30/2006

Series 7

Date: 12/16/2004

FINRA

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

Similar Advisors