Albert M. Gaudyn

FROST INVESTMENT SERVICES

AUSTIN, TX 78749

Some features on this profile are disabled

CRD#: 5883479

Professional summary

Albert Michael Gaudyn, who also goes by Albert M Gaudyn, Albert Gaudyn, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Austin, Texas and FROST BROKERAGE SERVICES, INC. located in San Antonio, Texas.

Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Albert has worked at 5 firms and has passed the Series 63, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Albert M Gaudyn | Albert Gaudyn

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 Albert Michael Gaudyn'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®

None

Experience

Current

January 3, 2025 - Present

FROST INVESTMENT SERVICES

Office #1: 4301 W William Cannon Dr, Austin, TX 78749

RIA

CRD#: 286129

AUSTIN, TX

Current

September 20, 2022 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 111 W Houston Ste 100, San Antonio, TX 78205

CRD#: 17465

SAN ANTONIO, TX

Past

July 24, 2013 - August 18, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

June 27, 2012 - June 28, 2013

FIFTH THIRD SECURITIES, INC.

CRD#: 628

ROSEMONT, IL

Past

April 22, 2011 - June 16, 2011

WADDELL & REED

CRD#: 866

OAKBROOK, IL

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".

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(12/23/2024)

IAR

Texas
(1/3/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/19/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/19/2022

General Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 4/21/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FROST INVESTMENT SERVICES

FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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

111 West Houston Street, San Antonio, TX 78205

Mailing Address

Po Box 2538, San Antonio, TX 78299

Phone number

(210) 220-5000

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3,179
AUM (Assets Under Management)	$ 2,976,654,932

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/10/2024	Cover Page	Report
11/27/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Albert M. Gaudyn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert Michael Gaudyn's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

J.P. MORGAN SECURITIES LLC

FIFTH THIRD SECURITIES, INC.

WADDELL & REED

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/2024

Series 7TO

Date: 9/19/2022

Series 7

Date: 4/21/2011

FINRA

Current Firm

FROST INVESTMENT SERVICES

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FROST INVESTMENT SERVICES

TRUST BUT VERIFY

Similar Advisors