Louis Frates
CRD Number: 5897890Current Firm: Ameriprise Financial Services, LLC
Compensation Model: Both
Louis Frates (CRD# 5897890) is an Investment Advisor Representative working at Thompson Davis Asset Management in Richmond, VA and has over 7 years of experience in the finance industry. His responsibilities at the firm include working with and educating clients regarding financial planning and investment management solutions. Louis brings to the firm eight years of industry experience, more than six of those as an advisor.
CRD# 1266966
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CRD# 864358
Frontier Financial Partners, LLC
CRD# 6404324
Davenport & Company LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Ameriprise Financial Services LLC | Midlothian, VA | Apr 2022 - Current | 2 |
| Thompson Davis & Company, Inc. | Richmond, VA | Mar 2019 - Apr 2022 | 3 |
| Lpl Financial LLC | Richmond, VA | Apr 2018 - Apr 2019 | 1 |
| Wealthcare Capital Management, LLC | West Chester, PA | Jul 2017 - Mar 2019 | 1 |
| Securities America Inc. | Williamsburg, VA | Dec 2014 - Apr 2017 | 2 |
| Securities America Advisors | Williamsburg, VA | Dec 2014 - Apr 2017 | 2 |
| Wells Fargo Bank, Na | Virginia Beach, VA | Oct 2014 - Dec 2014 | < 1 |
| Wells Fargo Advisors, LLC | Virginia Beach, VA | Oct 2014 - Dec 2014 | < 1 |
| Next Financial Group Inc. | Houston, TX | Oct 2012 - Aug 2014 | 1 |
| New York Life Ins. Company | Norfolk, VA | Aug 2012 - Aug 2014 | 2 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 2012 |
| S65 | NASAA Investment Advisors Law Examination | May 2013 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- TX
- VA
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Total Assets Under Management479,794MILLIONS
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Total Number of Accounts2,284,921ACCOUNTS
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Average Account Value$209,983
- 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)
- Publication of periodicals or newsletters
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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