Frank Braswell, financial advisor Charlotte NC
93 score

Frank Braswell

CRD Number: 5412152
Current Firm: Advice And Planning Services

Frank Braswell (CRD# 5412152) is an Investment Advisor Representative working at Advice And Planning Services in Charlotte, NC and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Tiaa-cref Individual & Institutional Services, LLC Charlotte, NC Feb 2011 - Current 5
Tiaa Charlotte, NC Feb 2011 - Current 5
Suntrust Investment Services, Inc. Atlanta, GA Sep 2007 - Feb 2011 3
Suntrust Banks, Inc. Concord, NC May 2004 - Feb 2011 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2007
S66 NASAA Uniform Combined State Law Examination Aug 2013
Contact Info for Frank H. Braswell
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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