Louis Frates, financial advisor Williamsburg VA
90 score

Louis Frates

CRD Number: 5897890
Current Firm: Securities America Advisors, Inc.

Louis Frates (CRD# 5897890) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Williamsburg, VA and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Securities America Inc. Williamsburg, VA Dec 2014 - Current 2
Securities America Advisors Williamsburg, VA Dec 2014 - Current 2
Wells Fargo Bank, Na Virginia Beach, VA Oct 2014 - Current 2
Wells Fargo Advisors, LLC Virginia Beach, VA Oct 2014 - Current 2
Next Financial Group Inc. Houston, TX Oct 2012 - Aug 2014 1
New York Life Ins. Company Norfolk, VA Aug 2012 - Aug 2014 2
Nylife Securities LLC Norfolk, VA Aug 2012 - Aug 2012 < 1
Lpl Financial Fairfax, VA Mar 2011 - Jul 2012 1
George Mason University Fairfax, VA Aug 2007 - May 2011 3
First Colonial High School Virginia Beach, VA Sep 2003 - Jul 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2012
S65 NASAA Investment Advisors Law Examination May 2013
Contact Info for Louis G. Frates
Phone Number: 402-399-9111
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • 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
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
90
Clean Record
This advisor has a clean track record with regulators.

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