DF
Douglas Y. Frank
WELLS FARGO ADVISORS FINANCIAL NETWORK
Westlake Village, CA 91362
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CRD#: 723283
DF
Professional summary
Douglas Yale Frank, CFP®, CIMA®, who also goes by Douglas Y Frank, Douglas Yale Frank, Douglas Frank, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Westlake Village, California.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Douglas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas Y Frank | Douglas Yale Frank | Douglas Frank
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.
WAYPOINT PRIVATE WEALTH MANAGEMENT, LLC DBA WAYPOINT PRIVATE WEALTH MANAGEMENT, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START DATE 4/5/2023, 160 HRS PER MONTH, 8 HRS DURING TRADING, FINET PRACTICE. SHALIMAR, LLC, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START DATE 2007, 3 HRS PER MONTH, 0 HRS DURING TRADING, HOLDS RENTAL PROPERTY. RIETTE, LLC, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP, START DATE 1988, 3 HRS PER MONTH, 0 HRS DURING TRADING, HOLDS RENTAL PROPERTY. RENTAL PROPERTY, INVT RELATED, WESTLAKE VILLAGE, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 1988, 3 HRS PER MONTH, 0 HRS DURING TRADING, OWNER. RENTAL PROPERTY, INVT RELATED, CEDAR HILLS, UT, 100% OWNERSHIP WITH SPOUSE, START DATE 2007, 3 HRS PER MONTH, 0 HRS DURING TRADING, OWNER. CALIFORNIA STATE BAR LAW LICENSE; NOT INV. RELATED; SAN FRANCISCO, CA; START DATE 12/13/1994; 0 HOURS PER MONTH. DUTIES: NONE.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Yale Frank's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Yale Frank'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®
Experience
Current
March 30, 2023 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 200 N Westlake Blvd Suite 201 Floor 2, Westlake Village, CA 91362RIA
BD
CRD#: 11025
Westlake Village, CA
Current
March 30, 2023 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #1: 200 N Westlake Blvd Suite 201 Floor 2, Westlake Village, CA 91362RIA
BD
CRD#: 11025
Westlake Village, CA
Past
October 23, 2009 - March 31, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
October 23, 2009 - March 31, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOS ANGELES, CA
Past
July 12, 1999 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
LOS ANGELES, CA
Past
May 12, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
LOS ANGELES, CA
Past
May 30, 1992 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
October 23, 1991 - June 30, 1992
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
December 22, 1987 - June 26, 1989
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
March 7, 1982 - January 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
February 9, 1981 - January 13, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
February 9, 1981 - January 13, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
February 9, 1981 - January 13, 1982
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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".
WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
CRD#: 11025 / SEC#: 801-57434, 8-28721
RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Arizona(4/4/2023)
IAR
California(3/30/2023)
RR
California(4/3/2023)
RR
Colorado(4/3/2023)
RR
Connecticut(3/31/2023)
RR
Florida(3/31/2023)
RR
Georgia(4/3/2023)
RR
Illinois(4/5/2023)
RR
Indiana(4/3/2023)
RR
Massachusetts(3/30/2023)
RR
Montana(4/5/2023)
RR
Nevada(4/4/2023)
RR
New Jersey(4/3/2023)
RR
New York(4/5/2023)
RR
North Carolina(4/4/2023)
RR
Oregon(3/31/2023)
RR
Pennsylvania(3/31/2023)
RR
South Dakota(4/5/2023)
RR
Tennessee(4/5/2023)
IAR
Texas(3/30/2023)
RR
Texas(3/31/2023)
RR
Washington(4/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 8/27/1987
Foreign Currency Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
1670 WEALTH MANAGEMENT | CRUNK FOLMAR & ASSOCIATES WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | CRT PRIVATE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | COVERED BRIDGE WEALTH MANAGEMENT | CORPORATE SECURITIES GROUP, INC. | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE STRATEGIC WEALTH MANAGEMENT | CORNAGIE WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY | CORK WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CORBETT & CAPEROON WEALTH MANAGEMENT OF TRUEJOURNEY | CONTINUITY GROUP | CONSERVANT FINANCIAL | CONSERVANT CAPITAL OF CONSERVANT FINANCIAL | CONCORD WEALTH MANAGEMENT OF WESTLAKE PRIVATE WEALTH MANAGEMENT | CONCORD PRIVATE WEALTH OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP, LLC. | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1792 CAPITAL | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
CRD#: 11025 / SEC#: 801-57434, 8-28721
RIA
Registered Investment Advisory firm - SEC (4/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205
Mailing Address
One North Jefferson Avenue H0004-05c, St. Louis, MO 63103
Phone number
(314) 875-3000
Established
Delaware since 03/12/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
3,658
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
