Richard Frank is a CFP-designated registered investment advisor, based in Scottsdale, AZ, with 32 years of industry experience.
Location
14321 North Northsight Blvd, Scottsdale, AZ, 85260
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Vanguard Marketing Corporation
December 2025 - Present · 5 mos
Vanguard Marketing CorporationBroker
December 2025 - Present · 5 mos
Vanguard Advisers, INC.
December 2025 - Present · 5 mos
Previous Registrations
Empower Advisory Group, LLC
July 2019 - November 2025 · 6 yrs 4 mos
Empower Financial Services, INC.Broker
July 2019 - November 2025 · 6 yrs 4 mos
Wells Fargo Clearing Services, LLCBroker
September 2013 - January 2018 · 4 yrs 4 mos
Wells Fargo Clearing Services, LLC
September 2013 - January 2018 · 4 yrs 4 mos
Key Investment Services LLCBroker
July 2012 - September 2013 · 1 yr 2 mos
Key Investment Services LLC
July 2012 - July 2012 · 0 mos
Hsbc Securities (USA) INC.Broker
October 2010 - July 2012 · 1 yr 9 mos
Hsbc Securities (USA) INC.
October 2010 - July 2012 · 1 yr 9 mos
Wells Fargo Advisors Financial Network, LLCBroker
September 2007 - October 2010 · 3 yrs 1 mo
Wells Fargo Advisors Financial Network, LLC
September 2007 - October 2010 · 3 yrs 1 mo
Lincoln Financial Distributors, INC.Broker
April 2004 - September 2005 · 1 yr 5 mos
Lincoln Financial Distributors, INC.
April 2004 - September 2005 · 1 yr 5 mos
Ofi Private Investments INC
January 2003 - May 2004 · 1 yr 4 mos
Oppenheimerfunds Distributor, INC.Broker
October 2000 - April 2004 · 3 yrs 6 mos
Capital Brokerage CorporationBroker
January 2000 - August 2000 · 7 mos
Fis Securities, INC.Broker
March 1998 - June 1999 · 1 yr 3 mos
Key Investments INC.Broker
January 1993 - February 1998 · 5 yrs 1 mo
Independent Financial Securities, INC.Broker
March 1992 - December 1992 · 9 mos
Pml Securities CompanyBroker
April 1990 - October 1992 · 2 yrs 6 mos
J. W. Gant & Associates, INC.Broker
November 1987 - April 1988 · 5 mos
State Registrations2 states
AZTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.