BL
Blake E. Leffingwell
FROST INVESTMENT SERVICES
AUSTIN, TX 78731
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CRD#: 7584303
BL
Professional summary
Blake Edward Leffingwell is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Austin, Texas and FROST BROKERAGE SERVICES, INC. located in Austin, Texas.
Blake is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Blake has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2022 APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED PRODUCTS 2. NAME OF OTHER BUSINESS: NORTH STAR RESOURCE GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: LIFE INSURANCE, SECURITIES AND PLANNING BUSINESS
CRS (Client Relationship Summary) - RIA
Click below to view Blake Edward Leffingwell'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
June 7, 2024 - Present
FROST INVESTMENT SERVICES
Office #1: 5800 N Mopac, Austin, TX 78731RIA
CRD#: 286129
AUSTIN, TX
Current
June 7, 2024 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 5800 N Mopac, Austin, TX 78731BD
CRD#: 17465
Austin, TX
Past
February 4, 2024 - May 24, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
AUSTIN, TX
Past
November 8, 2023 - May 24, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
AUSTIN, TX
Past
July 4, 2022 - November 20, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Austin, 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".
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(6/7/2024)
IAR
Texas(6/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/5/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/2/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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
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 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
