Unclaimed Profile

Karl Fredrick Frank

A & I FINANCIAL SERVICES, LLC·LONE TREE, Colorado

SIE, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 65CFPClean record21 years registeredA & I FINANCIAL SERVICES, LLC

9605 KINGSTON COURT, LONE TREE, CO 80112CRD# 4769985Firm CRD# 148357

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Karl Fredrick Frank · LONE TREE, CO

Registration

CRD #4769985 · A & I FINANCIAL SERVICES, LLC · 21 years registered

Brand Profile

Not yet started

Career History

GENEOS WEALTH MANAGEMENT, INC.

Aug 2021 – present

A & I WEALTH MANAGEMENT

Jan 2009 – present

GENEOS WEALTH MANAGEMENT, INC.

Jan 2005 – Dec 2010

ENGLEWOOD, CO

SUNAMERICA SECURITIES, INC.

Oct 2004 – Jan 2005

CENTENNIAL, CO

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 65

Registration record

First registered · October 20, 2004

Years registered · 21

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

A & I FINANCIAL SERVICES, LLC

CRD 148357 · SEC 801-69819

AUM

$412M

Regulatory assets under management

Employees

1,783 client accounts

Services offered by A & I FINANCIAL SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at A & I FINANCIAL SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does Karl Fredrick Frank offer?

Karl Fredrick Frank specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LONE TREE, Colorado for a consultation.

What are Karl Fredrick Frank's credentials?

Karl Fredrick Frank holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Karl Fredrick Frank located?

Karl Fredrick Frank is based in LONE TREE, Colorado, working with A & I FINANCIAL SERVICES, LLC. Their office serves clients in the LONE TREE metropolitan area and surrounding communities.

How does Karl Fredrick Frank charge for services?

Karl Fredrick Frank's firm is compensated through percentage of aum, subscription fees, other: solicitor/referral fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is A & I FINANCIAL SERVICES, LLC?

A & I FINANCIAL SERVICES, LLC has approximately 13 employees and manages $412M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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