Frank M. Garcia

FRANKLY FINANCES

Winter Park, FL

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CRD#: 5657015

Professional summary

Frank Matthew Garcia, AIF®, CFP® is a registered financial advisor currently at FRANKLY FINANCES located in Winter Park, Florida.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Frank has worked at 3 firms and has passed the Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Matthew Garcia'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

June 21, 2022 - Present

FRANKLY FINANCES

RIA

CRD#: 321270

Winter Park, FL

Past

November 3, 2015 - January 31, 2022

RESOURCE CONSULTING GROUP

RIA

CRD#: 105720

ORLANDO, FL

Past

September 10, 2012 - March 10, 2014

SCOTTRADE, INC.

CRD#: 8206

ORLANDO, FL

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".

FRANKLY FINANCES

FRANKLY FINANCES | FRANKLY FINANCES LLC

CRD#: 321270 / SEC#: 801-129403

RIA

Registered Investment Advisory firm - (1/22/2024 Approved)

Florida

Registered Investment Advisory firm - (2/6/2024 Terminated)

Texas

Registered Investment Advisory firm - (2/6/2024 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

Florida
(6/21/2022)

IAR

Texas
(9/13/2022)

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

Series 63

Date: 9/20/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/2012

General Securities Representative Examination

Current Firm

FRANKLY FINANCES

FRANKLY FINANCES | FRANKLY FINANCES LLC

CRD#: 321270 / SEC#: 801-129403

RIA

Registered Investment Advisory firm - (1/22/2024 Approved)

Florida

Registered Investment Advisory firm - (2/6/2024 Terminated)

Texas

Registered Investment Advisory firm - (2/6/2024 Terminated)

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Contact information

Main Address

Winter Park, FL

Mailing Address

Po Box 458, Winter Park, FL 32790

Phone number

(786) 897-5035

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

FORM ADV PART 2A (3/10/2025)

Regulatory assets under management

Total Number of Accounts	119
AUM (Assets Under Management)	$ 160,199,740

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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Frank M. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Matthew Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLY FINANCES

RESOURCE CONSULTING GROUP

SCOTTRADE, INC.

Primary Firm SEC Registration

FRANKLY FINANCES

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2012

Series 7

Date: 9/8/2012

Current Firm

FRANKLY FINANCES

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FRANKLY FINANCES

TRUST BUT VERIFY

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