Unclaimed Profile

Louis Gabriel Frates

THOMPSON DAVIS & CO., INC.·RICHMOND, Virginia

SIE, Series 7, Series 63, Series 6513 years registeredTHOMPSON DAVIS & CO., INC.

9030 STONY POINT PKWY, STE 100, RICHMOND, VA 23235CRD# 5897890Firm CRD# 41353

Profile Verification

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

Identity

Louis Gabriel Frates · RICHMOND, VA

Registration

CRD #5897890 · THOMPSON DAVIS & CO., INC. · 13 years registered

Brand Profile

Not yet started

Career History

AMERIPRISE FINANCIAL SERVICES, LLC

Apr 2022 – present

THOMPSON DAVIS ASSET MANAGEMENT

Mar 2019 – May 2022

RICHMOND, VA

WEALTHCARE CAPITAL MANAGEMENT LLC

Sep 2017 – Mar 2019

West Chester, PA

SECURITIES AMERICA ADVISORS, INC.

Dec 2014 – Apr 2017

WILLIAMSBURG, VA

WELLS FARGO ADVISORS, LLC

Oct 2014 – Dec 2014

VIRGINIA BEACH, VA

NEXT FINANCIAL GROUP, INC.

May 2013 – Aug 2014

VIRGINIA BEACH, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · May 23, 2013

Years registered · 13

Disclosure History

2019Financial·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

THOMPSON DAVIS & CO., INC.

CRD 41353 · SEC 801-120472

AUM

$159M

Regulatory assets under management

Employees

289 client accounts

Services offered by THOMPSON DAVIS & CO., INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at THOMPSON DAVIS & CO., INC. →

Introduction

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Frequently Asked Questions

What services does Louis Gabriel Frates offer?

Louis Gabriel Frates specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in RICHMOND, Virginia for a consultation.

What are Louis Gabriel Frates's credentials?

Louis Gabriel Frates is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Louis Gabriel Frates located?

Louis Gabriel Frates is based in RICHMOND, Virginia, working with THOMPSON DAVIS & CO., INC.. Their office serves clients in the RICHMOND metropolitan area and surrounding communities.

How does Louis Gabriel Frates charge for services?

Louis Gabriel Frates's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THOMPSON DAVIS & CO., INC.?

THOMPSON DAVIS & CO., INC. has approximately 10 employees and manages $159M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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