Brian Frack
UNITED CAPITAL FINANCIAL ADVISORS
LARKSPUR, CA 94939
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CRD#: 6376742
Professional summary
Brian Frack, CFP®, who also goes by Brian D Frack, Brian David Frack, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Larkspur, California.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Brian has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian D Frack | Brian David Frack
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.
1. Trustee at Deborah Robinson Third Party Special Needs Trust, a non-profit. Activity will take place from San Rafael, CA. Organization is not primarily engaged in investment-related activity. Start date was August 7, 2020. Five hours per month. Duties include having oversight for the entity's investments.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Frack's 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®
CFP®
Start date: 2017
Experience
Current
May 19, 2015 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 900 Larkspur Landing Circle Ste 209, Larkspur, CA 94939RIA
CRD#: 134600
LARKSPUR, CA
Past
September 10, 2014 - May 11, 2015
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SAN RAFAEL, CA
Past
August 13, 2014 - May 11, 2015
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SAN RAFAEL, CA
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 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.Highlighted states indicate IAR registrations
IAR
California(5/19/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Larkspur, CA 94939TRUST BUT VERIFY
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