Philip Frank has been General Counsel & Chief Compliance Officer of Family Manage since March 2011, is a control person of the firm and directly owns under 5% of it. Philip Frank holds a Bachelor's degree in Business Finance from Marist College and a JD from St. John's University.
Family Manage LLC is a New York, NY firm with $5.31B under management, 761 clients and 23 advisers across 3 offices, as of its April 2026 filing.
Philip T. Frank is Chief Compliance Officer of Family Management, where he is also General Counsel and has been employed since 2011. Prior to this, Frank held legal and compliance positions at Constellation Wealth Advisors, LLC, ABP Investments US and Crown Financial Group, Inc. Frank began his career as a staff attorney at FINRA.
Investment adviser representative registrations
Philip Frank is registered as an investment adviser representative in New York, since August 2021.
- New YorkSince 5 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 30 November 2011 |
| Series 4 | Registered Options Principal Examination | 10 September 2010 |
| Series 55 | Limited Representative-Equity Trader Exam | 1 February 2002 |
| Series 24 | General Securities Principal Examination | 29 June 2001 |
| Series 7 | General Securities Representative Examination | 20 March 2001 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Philip Thomas Frank
- CRD
- 4195958
- Firm
- Family Manage · CRD 104951
- Role
- General Counsel & Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- May 2004
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- familymanage.com
Where does Philip Frank work?
Philip Frank has been General Counsel & Chief Compliance Officer of Family Manage LLC since March 2011, and is a control person of the firm.
Is Philip Frank a financial advisor?
Yes. Philip Frank has a current investment-adviser registration in New York, through Family Manage since August 2021.
How many years of experience does Philip Frank have?
Philip Frank has 22 years in the financial industry, since May 2004, across 1 adviser firm.
What exams has Philip Frank passed?
Philip Frank has passed 7 licensing exams: the Series 7, Series 24, Series 55, Series 4, Series 53, Series 14 and Series 99TO. The earliest, the Series 7, was passed in March 2001. FINRA credited Philip Frank with the SIE, which began in October 2018.
Is Philip Frank registered with FINRA?
No. Philip Frank has no current broker registration.
How can I verify Philip Frank’s record?
Search CRD 4195958 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Philip Frank’s full registration record.
