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Frank Theodore Gardner III

Investment Adviser Representative at WESTWOOD MANAGEMENT CORP

Houston, TXCRD #2947950Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Frank Theodore Gardner has worked in the securities industry since 2002. They have passed the Series 87, 86, 66, 7, and 3 examinations. They are registered to provide investment advisory services in Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Texas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 1/21/2002
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 12/18/2012
Series 86
Research Analyst Exam - Part I Analysis Module
Passed 10/6/2004
Series 87
Research Analyst Exam - Part II Regulations Module
Passed 7/3/2004
Series 7
General Securities Representative Examination
Passed 1/3/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Westwood Management Corp Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

WESTWOOD MANAGEMENT CORPCurrent
5/1/2023Houston, TX
SALIENT CAPITAL ADVISORS, LLC
2/17/201111/21/2022Houston, TX
UBS FINANCIAL SERVICES INC.
1/23/20025/26/2004Houston, TX

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Frank Theodore Gardner III has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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