Frank H. Windes

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CRD#: 469750

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.

Frank H Windes, who also goes by Frank Harold Windes, was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1969. Frank had worked at 7 firms and has passed the Series 65, Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank Harold Windes

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.

The advisor shows no other business activity.

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

October 31, 2018 - February 11, 2022

BABB WEALTH ADVISORS LLC

RIA

CRD#: 298347

FLAGSTAFF, AZ

Past

June 1, 2017 - October 19, 2018

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

FLAGSTAFF, AZ

Past

January 8, 2010 - April 26, 2017

WEALTH RESCUE STRATEGIES, INC.

RIA

CRD#: 146965

LA JOLLA, CA

Past

April 24, 1986 - September 15, 2009

WALNUT STREET SECURITIES, INC.

CRD#: 15840

FLAGSTAFF, AZ

Past

March 30, 1984 - April 25, 1986

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 28, 1981 - April 2, 1984

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

September 11, 1969 - June 8, 1981

PRINCIPAL SECURITIES, INC.

CRD#: 1137

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".

BABB WEALTH ADVISORS LLC

BABB FINANCIAL GROUP, LLC | BABB WEALTH ADVISORS LLC

CRD#: 298347 / SEC#: 801-125695

RIA

Registered Investment Advisory firm - (5/18/2022 Approved)

Arizona

Registered Investment Advisory firm - (6/16/2022 Terminated)

Colorado

Registered Investment Advisory firm - (6/21/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (6/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2022 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.

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: 12/16/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 9/9/1969

Registered Representative Examination

Current Firm

BABB WEALTH ADVISORS LLC

BABB FINANCIAL GROUP, LLC | BABB WEALTH ADVISORS LLC

CRD#: 298347 / SEC#: 801-125695

RIA

Registered Investment Advisory firm - (5/18/2022 Approved)

Arizona

Registered Investment Advisory firm - (6/16/2022 Terminated)

Colorado

Registered Investment Advisory firm - (6/21/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (6/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2022 Terminated)

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Contact information

Main Address

19 W. Aspen Avenue, Flagstaff, AZ 86001

Mailing Address

Phone number

(928) 526-2911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BABB WEALTH ADVISORS LLC WRAP FEE PROGRAM (5/21/2025)

ADV PART 2A-BABB WEALTH ADVISORS LLC (5/21/2025)

Regulatory assets under management

Total Number of Accounts	810
AUM (Assets Under Management)	$ 140,938,817

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

Frank H. Windes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTMENT ADVISORS CORP

WEALTH RESCUE STRATEGIES, INC.

WALNUT STREET SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

BABB WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/16/2009

Series 63

Date: 7/15/1997

Series 1

Date: 9/9/1969

Current Firm

BABB WEALTH ADVISORS LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BABB WEALTH ADVISORS LLC

TRUST BUT VERIFY

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