Alberto D. Fraga

FROST INVESTMENT SERVICES

LITTLE ELM, TX 75068

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CRD#: 6516210

Professional summary

Alberto Daniel Fraga, who also goes by Daniel Fraga, Alberto Fraga, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Little Elm, Texas and FROST BROKERAGE SERVICES, INC. located in San Antonio, Texas.

Alberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Alberto has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Fraga | Alberto Fraga

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) Tyler Capital Holdings Inc./Alberto Daniel Fraga; Investment Related; Carrollton, TX; Residential Rental Properties; Owner/Sole Proprietor; Started 7/2011; Approx. 4hrs/mo; Not during securities trading hrs; As owner of the rentals I handle paying the property manager, paying taxes and insurance, other repairs and decide if we are going to acquire more rentals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Daniel Fraga'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 26, 2022 - Present

FROST INVESTMENT SERVICES

Office #1: 2785 E Eldorado Pkwy Ste 100, Little Elm, TX 75068

RIA

CRD#: 286129

LITTLE ELM, TX

Current

November 7, 2021 - Present

FROST BROKERAGE SERVICES, INC.

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

CRD#: 17465

SAN ANTONIO, TX

Past

November 5, 2021 - December 31, 2021

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

DALLAS, TX

Past

August 5, 2019 - October 19, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

IRVING, TX

Past

August 5, 2019 - October 19, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

IRVING, TX

Past

October 13, 2017 - June 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CARROLLTON, TX

Past

September 26, 2017 - June 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CARROLLTON, TX

Past

July 24, 2015 - August 30, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

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
(11/7/2021)

IAR

Texas
(1/26/2022)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 10/13/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/31/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2015

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)

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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 (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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Alberto D. Fraga

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alberto Daniel Fraga's CRS (Customer Relationship Summary).

Certified licenses

Experience

FROST BROKERAGE SERVICES, INC.

FROST INVESTMENT SERVICES

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

FROST INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2017

Series 63

Date: 7/31/2015

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2015

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

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