AF
Aron P. Frank
GAMBIT CAPITAL MANAGEMENT
Beaver Dam, WI
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CRD#: 7273955
AF
Professional summary
Aron Patrick Frank is a registered financial advisor currently at GAMBIT CAPITAL MANAGEMENT, LLC located in Beaver Dam, Wisconsin.
Aron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Aron has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Paraplanner at Summit Advisor Group, an Investment related business, as of March 6, 2023, spends 60 hrs/month, 45 securities trading hr/month. Duties include: Various administrative and operations activities, scheduling meetings, client meeting preparation, note taking and post meeting documentation, trading and rebalancing.
CRS (Client Relationship Summary) - RIA
Click below to view Aron Patrick 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®
NoneExperience
Current
March 13, 2023 - Present
GAMBIT CAPITAL MANAGEMENT, LLC
RIA
CRD#: 318313
Beaver Dam, WI
Past
April 1, 2022 - December 1, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
BROOKFIELD, WI
Past
January 10, 2022 - December 1, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
BROOKFIELD, WI
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".
GC
GAMBIT CAPITAL MANAGEMENT, LLC
GAMBIT CAPITAL MANAGEMENT, LLC
CRD#: 318313 / SEC#: 801-132187
RIA
Registered Investment Advisory firm - (4/11/2025 Approved)Arizona
Registered Investment Advisory firm - (4/22/2025 Terminated)Minnesota
Registered Investment Advisory firm - (4/23/2025 Terminated)South Dakota
Registered Investment Advisory firm - (4/22/2025 Terminated)Tennessee
Registered Investment Advisory firm - (4/22/2025 Terminated)Texas
Registered Investment Advisory firm - (4/22/2025 Terminated)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
Minnesota(3/13/2023)
IAR
South Dakota(5/14/2024)
IAR
Tennessee(3/13/2023)
IAR
Texas(3/13/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/10/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
GC
GAMBIT CAPITAL MANAGEMENT, LLC
GAMBIT CAPITAL MANAGEMENT, LLC
CRD#: 318313 / SEC#: 801-132187
RIA
Registered Investment Advisory firm - (4/11/2025 Approved)Arizona
Registered Investment Advisory firm - (4/22/2025 Terminated)Minnesota
Registered Investment Advisory firm - (4/23/2025 Terminated)South Dakota
Registered Investment Advisory firm - (4/22/2025 Terminated)Tennessee
Registered Investment Advisory firm - (4/22/2025 Terminated)Texas
Registered Investment Advisory firm - (4/22/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Franklin, TN
Mailing Address
Phone number
(615) 237-2142
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 284 |
| AUM (Assets Under Management) | $ 101,311,686 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
