Frank Bazan

Some features on this profile are disabled

CRD#: 5593113

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.

Frank Bazan was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 2008. Frank had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 19, 2019 - February 21, 2020

CENTRIC ADVISORS, LLC

RIA

CRD#: 282477

Houston, TX

Past

September 23, 2013 - April 8, 2016

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Houston, TX

Past

May 16, 2013 - April 8, 2016

BBVA SECURITIES INC.

CRD#: 27060

HOUSTON, TX

Past

January 18, 2013 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

SAN ANTONIO, TX

Past

February 28, 2011 - December 6, 2012

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

February 28, 2011 - December 6, 2012

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

AUSTIN, TX

Past

January 26, 2010 - March 2, 2011

EDWARD JONES

RIA

CRD#: 250

SAN ANTONIO, TX

Past

January 26, 2010 - March 2, 2011

EDWARD JONES

CRD#: 250

SAN ANTONIO, TX

Past

November 17, 2008 - January 15, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN ANTONIO, TX

Past

October 22, 2008 - January 15, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN ANTONIO, 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".

CENTRIC ADVISORS, LLC

CRD#: 282477 / SEC#: 801-121623

RIA

Registered Investment Advisory firm - (6/28/2021 Approved)

Arizona

Registered Investment Advisory firm - (6/29/2021 Terminated)

California

Registered Investment Advisory firm - (7/29/2021 Terminated)

Iowa

Registered Investment Advisory firm - (12/31/2020 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/29/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 1/10/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CENTRIC ADVISORS, LLC

CRD#: 282477 / SEC#: 801-121623

RIA

Registered Investment Advisory firm - (6/28/2021 Approved)

Arizona

Registered Investment Advisory firm - (6/29/2021 Terminated)

California

Registered Investment Advisory firm - (7/29/2021 Terminated)

Iowa

Registered Investment Advisory firm - (12/31/2020 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/29/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12549 Louetta Road, Cypress, TX 77429

Mailing Address

Phone number

(888) 215-5888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- CENTRIC ADVISORS, LLC (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,162
AUM (Assets Under Management)	$ 226,897,006

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frank Bazan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

EDWARD JONES

EDWARD JONES

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CENTRIC ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2019

Series 63

Date: 10/29/2008

SIE

Date: 4/8/2016

Series 7

Date: 2/16/2010

Series 6

Date: 10/20/2008

Current Firm

CENTRIC ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CENTRIC ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors