Colin M. Frankenfield
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.
Colin Mccaffrey Frankenfield, who also goes by Colin M Frankenfield, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2010. Colin had worked at 3 firms and has passed the Series 63 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2025 - September 30, 2025
HERITAGE WEALTH ADVISORS
November 24, 2010 - December 15, 2011
NOMURA SECURITIES INTERNATIONAL, INC.
October 6, 2010 - May 10, 2011
NOMURA SECURITIES NORTH AMERICA, LLC
Primary Firm SEC Registration
HERITAGE WEALTH ADVISORS
CRD#: 137484 / SEC#: 801-64803
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HERITAGE WEALTH ADVISORS
CRD#: 137484 / SEC#: 801-64803
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,623 |
| AUM (Assets Under Management) | $ 4,567,546,731 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 07/29/2024 | ||
| 10/27/2023 | ||
| 02/22/2023 |
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.
