Frank James Mcgovern Jr
CFP®Professional Summary
Frank James Mcgovern JR, CFP® is a registered financial advisor currently at CAPITOL WEALTH MANAGEMENT, INC. located in Mclean, Virginia and LPL FINANCIAL LLC located in Mclean, Virginia. Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Frank has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN SECURITY INVESTMENT ADVISORS, INC. | PROFESSIONAL PLANNING ASSOCIATION, INC. | CAPITOL WEALTH MANAGEMENT, INC.
Contact Information
Main Address
7900 Westpark Dr. Suite T-420, Mclean, VA 22102Phone Number
(703) 891-4070# of Employees
2SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
93AUM (Assets Under Management)
$111,888,886Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
AMERICAN SECURITY INVESTMENT ADVISORS, INC. | PROFESSIONAL PLANNING ASSOCIATION, INC. | CAPITOL WEALTH MANAGEMENT, INC.
State Registrations and Notice Filings
(4/10/2023)
(9/8/2009)
(9/9/2009)
(9/8/2009)
(9/8/2009)
(9/8/2009)
(4/19/2022)
(1/12/2021)
(3/2/2022)
(10/15/1997)
(9/8/2009)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed May 1984About the Series 22 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Frank James Mcgovern JR's CRS (Customer Relationship Summary).
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