Joel Richard Frank
Professional Summary
Joel Richard Frank, who also goes by Joel R Frank, Richard Joel Frank, is a registered financial advisor currently at EQUILUS GROUP INC located in Wenatchee, Washington. Joel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joel has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joel R Frank, Richard Joel Frank
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
EQUILUS FINANCIAL GROUP INC | EQUILUS GROUP INC
Contact Information
Main Address
385 E Penny Road Suite 101b, Wenatchee, WA 98801Mailing Address
Po Box 1687, Wenatchee, WA 98807Phone Number
(888) 860-0658# of Employees
6Documents
Regulatory Assets Under Management
Total Number of Accounts
152AUM (Assets Under Management)
$25,718,869Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/27/2021)
(8/30/2021)
(5/10/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2007About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Joel Richard Frank's CRS (Customer Relationship Summary).
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