Kaleb FrawleyCRD Number: 5415756
Current Firm: Commonwealth Financial Network
Kaleb Frawley (CRD# 5415756) is an Investment Advisor Representative working at Commonwealth Financial Network in Richland Center, WI and has over 5 years of experience in the finance industry.
Ameriprise Financial Services, Inc.
Sii Investments, Inc.
Investment Centers Of America, Inc.
|Commonwealth Financial Network||Waltham, MA||Jul 2016 - Current||1|
|Rewald, Sebranek & Frawley, LLC||Richland Center, WI||Aug 2014 - Current||2|
|Raymond James Financial Services Advisors Inc.||Richland Center, WI||Apr 2012 - May 2016||4|
|Raymond James Financial Services||Richland Center, WI||Jan 2012 - May 2016||4|
|Raymond James Financial Services||Richland Center, WI||Sep 2007 - Jan 2012||4|
|Uw-platteville||Platteville, WI||May 2010 - Dec 2011||1|
|Uw-richland||Richland Center, WI||Jun 2008 - May 2010||1|
|Richland Center High School||Richland Center, WI||Sep 2004 - May 2008||3|
|St. Mary's Church||Richland Center, WI||Jun 2007 - Sep 2007||< 1|
|St. Mary's Church||Richland, WI||Jun 2006 - Sep 2006||< 1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Apr 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
Total Assets Under Management52,073MILLIONS
Total Number of Accounts229,200ACCOUNTS
Average Account Value$227,194
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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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