Joey L. Frayne
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.
Joey Lawrence Frayne JR, who also goes by Joey L Frayne Jr, was a registered financial professional .
Joey is a previously registered financial professional and started their career in finance in 2004. Joey had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2013 - February 18, 2015
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
February 27, 2012 - February 18, 2015
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
January 2, 2008 - February 27, 2012
CLIFTON GUNDERSON WEALTH ADVISORS
August 8, 2007 - March 5, 2013
CG BROKERAGE L.L.C.
January 29, 2007 - August 9, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 26, 2004 - November 21, 2005
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLIFTONLARSONALLEN LLP | SOLE MEMBER | |
| BLAND, WILLIAM CLAYTON | CHIEF EXECUTIVE OFFICER | 3259971 |
| BUFFIE, BRIAN JACOB | CHIEF COMPLIANCE OFFICER | 5532207 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL FINANCIAL OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL OPERATIONS OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | FINANCIAL OPERATIONS PRINCIPAL | 4587577 |
Regulatory assets under management
| Total Number of Accounts | 22,382 |
| AUM (Assets Under Management) | $ 13,324,042,941 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2025 | ||
| 09/10/2024 | ||
| 08/16/2023 |
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.
