Michael B. Frost

HERITAGE FAMILY OFFICES, LLP

SCOTTSDALE, AZ 85260

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CRD#: 4927678

Professional summary

Michael Brent Frost, who also goes by Michael B Frost, is a registered financial advisor currently at HERITAGE FAMILY OFFICES, LLP located in Scottsdale, Arizona.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Michael has worked at 8 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael B Frost

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.

MICHAEL BRENT FROST IS A LICENSED INSURANCE AGENT IN THE STATE OF ARIZONA AND THE OWNER OF FROST & ASSOCIATES, LLC AN INSURANCE AGENCY. MR. FROST IS ALSO THE CO-OWNER AND CIO OF CAPTIVATED FINANCIAL GROUP, LLC, AN INVESTMENT-RELATED BUSINESS, TO WHICH HE DEVOTES APPROXIMATELY 20 HOURS PER MONTH. MICHAEL BRENT FROST IS ALSO THE MANAGER OF FROST & FROST, LLC (A RESIDENTIAL RENTAL PROPERTY AND REAL ESTATE COMPANY), FROM TIME TO TIME, HE MAY OFFER CLIENTS ADVICE OR PRODUCTS FROM THOSE ACTIVITIES. CLIENTS SHOULD BE AWARE THAT THESE SERVICES PAY A COMMISSION AND INVOLVE A POSSIBLE CONFLICT OF INTEREST, AS COMMISSIONABLE PRODUCTS CAN CONFLICT WITH THE FIDUCIARY DUTIES OF A REGISTERED INVESTMENT ADVISER. ANF ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT, INCLUDING THE SALE OF COMMISSIONABLE PRODUCTS TO ADVISORY CLIENTS. CLIENTS ARE IN NO WAY REQUIRED TO IMPLEMENT THE PLAN THROUGH ANY REPRESENTATIVE OF ANF IN THE INDIVIDUAL'S OUTSIDE CAPACITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Brent Frost'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®

None

Experience

Current

June 18, 2024 - Present

HERITAGE FAMILY OFFICES, LLP

Office #1: 9841 E Bell Rd Suite 110, Scottsdale, AZ 85260

RIA

CRD#: 323930

SCOTTSDALE, AZ

Past

February 3, 2023 - December 31, 2023

HERITAGE FAMILY OFFICES, LLP

RIA

CRD#: 323930

PHOENIX, AZ

Past

July 24, 2017 - August 2, 2018

JUNCTURE WEALTH STRATEGIES, LLC

RIA

CRD#: 287908

SCOTTSDALE, AZ

Past

June 27, 2017 - March 5, 2024

HERITAGE WEALTH MANAGEMENT, LLC

RIA

CRD#: 287909

PHOENIX, AZ

Past

July 7, 2011 - August 18, 2017

HERITAGE WEALTH MANAGEMENT, LLC

RIA

CRD#: 158107

PHOENIX, AZ

Past

January 19, 2010 - June 20, 2011

EMPOWERMENT FINANCIAL GROUP

RIA

CRD#: 152203

SCOTTSDALE, AZ

Past

July 7, 2009 - February 25, 2011

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SCOTTSDALE, AZ

Past

September 11, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCOTTSDALE, AZ

Past

September 11, 2007 - December 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCOTTSDALE, AZ

Past

January 8, 2007 - September 7, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SCOTTSDALE, AZ

Past

July 19, 2006 - September 7, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SCOTTSDALE, AZ

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".

HERITAGE FAMILY OFFICES, LLP

CRD#: 323930 / SEC#: 801-126899

RIA

Registered Investment Advisory firm - (11/18/2022 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/18/2024)

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: 1/2/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/2006

General Securities Representative Examination

Current Firm

HERITAGE FAMILY OFFICES, LLP

CRD#: 323930 / SEC#: 801-126899

RIA

Registered Investment Advisory firm - (11/18/2022 Approved)

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Contact information

Main Address

9841 E Bell Rd Suite 110, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 775-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANNUAL AMENDMENT BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts	831
AUM (Assets Under Management)	$ 408,105,385

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

Michael B. Frost

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Brent Frost's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERITAGE FAMILY OFFICES, LLP

JUNCTURE WEALTH STRATEGIES, LLC

HERITAGE WEALTH MANAGEMENT, LLC

HERITAGE WEALTH MANAGEMENT, LLC

EMPOWERMENT FINANCIAL GROUP

FIRST ALLIED SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

HERITAGE FAMILY OFFICES, LLP

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2007

Series 7

Date: 7/18/2006

Current Firm

HERITAGE FAMILY OFFICES, LLP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE FAMILY OFFICES, LLP

TRUST BUT VERIFY

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