FRUGAL FINANCIAL RETIREMENT PLAN SERVICES, LLC of MOBILE, AL is an SEC-registered investment adviser (CRD 168390). Regulatory assets under management: $194.9M.
Compensation: % of AUM.
Clients served: Pensions.
| Name | Role | Location |
|---|---|---|
| Eric Christopher Droblyen | MANAGING DIRECTOR; MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER; PARTNER | — |
| DROBLYEN ERIC CHRISTOPHER | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER; PARTNER | — |
| CARPENTER GREGORY CLEVELAND | OWNER | — |
| Mark Stephen Nicholas | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-11-05 | regulatory | FROM APRIL 2018 THROUGH JUNE 2019, THE FIRM VIOLATED SECTION 12.B OF THE TEXAS SECURITIES ACT BY RENDERING SERVICES AS AN INVESTMENT ADVISER IN TEXAS AT A TIME WHEN THE FIRM WAS NOT REGISTERED WITH THE SECURITIES COMMISSIONER AS AN INVESTMENT ADVISER AND WAS NO LONGER EXEMPT FROM REGISTRATION REQUIR… | Final | $5K |