Kevin Dale Frank

CRD 4174441 · Charles Schwab & Co., Inc. · Lone Tree, CO

IA RegisteredBroker

Also appears in the source record as: Kevin Frank

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 24
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4174441 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · SEC IAPD ↗

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Lone Tree, CO · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Lone Tree, CO · BC capacity

start not retrieved → present
Td Ameritrade, Inc.
Lone Tree, CO · IA capacity

Jan 29, 2016 → Jan 11, 2022
Td Ameritrade, Inc.
Omaha, NE · BC capacity

Jan 29, 2016 → Jan 11, 2022
Fidelity Brokerage Services LLC
Greenwood Village, CO · BC capacity

Aug 10, 2015 → Jan 13, 2016
Tiaa-Cref Advice And Planning Services
Denver, CO · IA capacity

Jun 11, 2007 → Aug 28, 2014
Tiaa-Cref Individual & Institutional Services, LLC
Denver, CO · BC capacity

Jun 5, 2007 → Aug 28, 2014
Chase Investment Services Corp.
Denver, CO · IA capacity

Oct 17, 2005 → May 22, 2007
Chase Investment Services Corp.
Denver, CO · BC capacity

Oct 17, 2005 → May 22, 2007
Nationwide Securities, Inc.
Columbus, OH · BC capacity

Feb 18, 2005 → Jun 23, 2005
Prudential Financial Planning Services
Jacksonville, FL · IA capacity

Nov 18, 2003 → Feb 3, 2005
Pruco Securities, LLC.
Newark, NJ · BC capacity

Oct 22, 2003 → Feb 3, 2005
Nylife Securities Inc.
New York, NY · BC capacity

Sep 16, 2003 → Nov 4, 2003
Merrill Lynch Pierce Fenner & Smith Inc.
Jacksonville, FL · IA capacity

Aug 18, 2000 → Aug 27, 2003
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Aug 17, 2000 → Aug 27, 2003

Source & corrections

Where this page comes from

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