Frank J. Marrone

RIA ADVISORS

Houston, TX 77079

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CRD#: 4960685

Professional summary

Frank Joseph Marrone, CFP® is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Frank has worked at 7 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.

Frank Marrone is a Financial Advisor with RIA Wealth Advisors LLC which is a wealth management company. His responsibilities include providing financial advice. 35 hours a month are spent on this activity during trading hours. 10 hours a month are spent ton this activity outside if trading hours. 20% of his yearly income is derived from this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Joseph Marrone'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: 2008

Experience

Current

November 20, 2018 - Present

RIA ADVISORS

Office #1: 11750 Katy Freeway Suite 840, Houston, TX 77079

RIA

CRD#: 150661

Houston, TX

Past

August 15, 2022 - July 28, 2023

RIA WEALTH ADVISORS, LLC

RIA

CRD#: 312072

ROUND ROCK, TX

Past

March 29, 2016 - November 27, 2018

FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC

RIA

CRD#: 112296

HOUSTON, TX

Past

January 9, 2015 - May 4, 2016

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

HOUSTON, TX

Past

March 5, 2010 - January 9, 2015

SUNBELT SECURITIES, INC.

RIA

CRD#: 42180

HOUSTON, TX

Past

March 5, 2010 - January 9, 2015

SUNBELT SECURITIES, INC.

CRD#: 42180

HOUSTON, TX

Past

July 18, 2005 - March 16, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HOUSTON, TX

Past

June 29, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 29, 2005 - March 16, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HOUSTON, 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".

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 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

Texas
(11/20/2018)

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: 7/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/2005

General Securities Representative Examination

Current Firm

RIA ADVISORS

CRD#: 150661 / SEC#: 801-77832

RIA

Registered Investment Advisory firm - (4/16/2013 Approved)

Arizona

Registered Investment Advisory firm - (4/23/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (4/25/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (4/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2013 Terminated)

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Contact information

Main Address

11750 Katy Freeway Suite 840, Houston, TX 77079

Mailing Address

Phone number

(281) 501-1791

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 - CLARITY FINANCIAL, LLC (5/5/2025)

Regulatory assets under management

Total Number of Accounts	3,581
AUM (Assets Under Management)	$ 1,530,453,633

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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Firm Stability Insights

Frank J. Marrone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Joseph Marrone's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIA WEALTH ADVISORS, LLC

FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC

CONCERT WEALTH MANAGEMENT

SUNBELT SECURITIES, INC.

SUNBELT SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

RIA ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/15/2005

SIE

Date: 1/9/2015

Series 7

Date: 6/28/2005

Current Firm

RIA ADVISORS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIA ADVISORS

TRUST BUT VERIFY

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