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AG

Albert M. Gaudyn

FROST INVESTMENT SERVICES
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 5883479
AG
Albert Michael GaudynFROST INVESTMENT SERVICES

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 Austin, 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.

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: 5656 Bee Caves Rd Bldg A, Austin, TX 78746
RIA
CRD#: 286129
AUSTIN, TX
Current

September 20, 2022 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 5656 Bee Caves Rd, Austin, TX 78746
BD
CRD#: 17465
AUSTIN, TX
Past

July 24, 2013 - August 18, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

June 27, 2012 - June 28, 2013

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
ROSEMONT, IL
Past

April 22, 2011 - June 16, 2011

WADDELL & REED

BD
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".
FI
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.
RR
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

RR
Texas
(12/23/2024)
IAR
Texas
(1/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FI
FROST INVESTMENT SERVICES
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA
Registered Investment Advisory firm - (1/3/2017 Approved)
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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 (12/10/2025)

Regulatory assets under management

Total Number of Accounts3,179
AUM (Assets Under Management)$ 2,976,654,932

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/12/2025
Cover Page
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.

Company Information

FROST INVESTMENT SERVICES

CRD#: 286129Austin, TX 78746

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