Bruce A. Frankel

PARALLEL ADVISORS

DURHAM, NC 27713

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CRD#: 4700928

Professional summary

Bruce Allan Frankel, CFP® is a registered financial advisor currently at PARALLEL ADVISORS, LLC located in Durham, North Carolina.

Bruce is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Bruce has worked at 8 firms and has passed the Series 66, SIE 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) Licensed Insurance Agent; not investment-related; started 06/2003; approximately 3 hours per month, 1 hour during securities trading hours. 2) AB Bedding, LLC; not investment-related; San Anselmo, CA; bedding product; Member; started 01/2023; approximately 10 hours per month, none during securities trading hours; strategic support.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Allan Frankel'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: 2006

Experience

Current

April 25, 2024 - Present

PARALLEL ADVISORS, LLC

Office #1: 2530 Meridian Parkway Suite 300, Durham, NC 27713

RIA

CRD#: 140800

DURHAM, NC

Past

April 1, 2022 - July 22, 2024

MGO PRIVATE WEALTH, LLC

RIA

CRD#: 283909

San Rafael, CA

Past

May 2, 2017 - March 31, 2023

ECKHOFF WEALTH MANAGEMENT, LLC

RIA

CRD#: 288120

SAN RAFAEL, CA

Past

October 21, 2015 - April 28, 2017

YERBA BUENA WEALTH ADVISORS, LLC

RIA

CRD#: 226726

SAN RAFAEL, CA

Past

September 26, 2013 - October 7, 2016

YERBA BUENA WEALTH ADVISORS LLC

RIA

CRD#: 167703

SAN RAFAEL, CA

Past

January 4, 2005 - September 8, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN RAFAEL, CA

Past

January 4, 2005 - November 21, 2016

LPL FINANCIAL LLC

CRD#: 6413

SAN RAFAEL, CA

Past

March 16, 2004 - January 4, 2005

EQUITY SERVICES, INC.

RIA

CRD#: 265

SAN FRANCISCO, CA

Past

December 4, 2003 - January 4, 2005

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

October 21, 2003 - November 17, 2003

PRO-INTEGRITY SECURITIES, INC.

RIA

CRD#: 44707

SAN FRANCISCO, CA

Past

September 3, 2003 - November 17, 2003

PRO-INTEGRITY SECURITIES, INC.

CRD#: 44707

LONGVIEW, TX

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".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 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
(4/25/2024)

IAR

North Carolina
(12/19/2024)

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: 10/20/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/21/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/2/2003

General Securities Representative Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

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

Bruce A. Frankel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bruce Allan Frankel's CRS (Customer Relationship Summary).

Certified licenses

Experience

MGO PRIVATE WEALTH, LLC

ECKHOFF WEALTH MANAGEMENT, LLC

YERBA BUENA WEALTH ADVISORS, LLC

YERBA BUENA WEALTH ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

PRO-INTEGRITY SECURITIES, INC.

PRO-INTEGRITY SECURITIES, INC.

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2003

SIE

Date: 11/21/2016

Series 7

Date: 9/2/2003

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

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