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Stacey Katrina Frank

A & I FINANCIAL SERVICES, LLC·LONE TREE, Colorado
SIE, Series 7, Series 24, Series 66Clean record17 years registeredA & I FINANCIAL SERVICES, LLC
9605 KINGSTON COURT, LONE TREE, CO 80112CRD# 5055901Firm CRD# 148357

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Stacey Katrina Frank · LONE TREE, CO
Registration
CRD #5055901 · A & I FINANCIAL SERVICES, LLC · 17 years registered
Brand Profile
Not yet started
01

Career History

A & I WEALTH MANAGEMENT
Mar 2009 – present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 66
Registration record
First registered · March 18, 2009
Years registered · 17
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
A & I FINANCIAL SERVICES, LLC
CRD 148357 · SEC 801-69819
AUM
$412M
Regulatory assets under management
Employees
13
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 →
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05

Frequently Asked Questions

What services does Stacey Katrina Frank offer?
Stacey Katrina Frank specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LONE TREE, Colorado for a consultation.
What are Stacey Katrina Frank's credentials?
Stacey Katrina Frank is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Stacey Katrina Frank located?
Stacey Katrina 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 Stacey Katrina Frank charge for services?
Stacey Katrina 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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Other Advisors at A & I FINANCIAL SERVICES, LLC

Karl Fredrick Frank
LONE TREE, CO
CFP
Sharon Ann Gaspar
LONE TREE, CO

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