Frank J. Mcgovern

CAPITOL WEALTH MANAGEMENT

MCLEAN, VA 22102

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CRD#: 1252899

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

(1) 8/13/2010: REGISTERED INVESTMENT ADVISOR - CAPITOL WEALTH MANAGEMENT, INC. - HYBRID - PROVIDE FINANCIAL PLAN AND CHARGE AN HOURLY FEE. CHARGE FEES TO MANAGE ASSETS. - 75% OF TIME. (2) 8/17/2010: NON-VARIABLE INSURANCE - FRANK MCGOVERN - SELL INSURANCE PRODUCTS OCCASIONALLY AWAY FROM LPL. - 5% OF TIME SPENT. (3) 08/23/2013 - DBA ONLY - CAPITOL WEALTH MANAGEMENT, INC. - MCLEAN, VA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank James Mcgovern JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

October 15, 1997 - Present

CAPITOL WEALTH MANAGEMENT, INC.

Office #1: 7900 Westpark Dr. Suite T420, Mclean, VA 22102

RIA

CRD#: 114994

MCLEAN, VA

Current

September 8, 2009 - Present

LPL FINANCIAL LLC

Office #1: 7900 Westpark Dr., Ste. T420, Mclean, VA 22102

RIA

CRD#: 6413

MCLEAN, VA

Past

November 26, 2007 - September 8, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

MCLEAN, VA

Past

January 28, 2005 - April 1, 2005

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MCLEAN, VA

Past

January 28, 2005 - November 27, 2007

FSC SECURITIES CORPORATION

CRD#: 7461

MCLEAN, VA

Past

December 8, 1999 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

December 8, 1999 - February 3, 2005

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

May 3, 1999 - November 30, 1999

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

November 5, 1990 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

June 10, 1985 - November 5, 1990

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

December 13, 1984 - June 7, 1985

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

Past

May 14, 1984 - November 5, 1984

THE HARKNESS GROUP,LTD.

CRD#: 13569

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(4/10/2023)

District of Columbia
(9/8/2009)

Florida
(9/9/2009)

Maryland
(9/8/2009)

North Carolina
(9/8/2009)

Oregon
(9/8/2009)

South Carolina
(4/19/2022)

South Dakota
(1/12/2021)

Texas
(3/2/2022)

IAR

Virginia
(10/15/1997)

Virginia
(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

State Security Law Exam

IAR

Series 65

Date: 8/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/11/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/4/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPITOL WEALTH MANAGEMENT, INC.

AMERICAN SECURITY INVESTMENT ADVISORS, INC. | PROFESSIONAL PLANNING ASSOCIATION, INC. | CAPITOL WEALTH MANAGEMENT, INC.

CRD#: 114994 / SEC#: 801-64256

RIA

Registered Investment Advisory firm - (7/11/2012 Terminated)

Maryland

Registered Investment Advisory firm - (11/10/2005 Terminated)

Virginia

Registered Investment Advisory firm - (7/3/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7900 Westpark Dr. Suite T-420, Mclean, VA 22102

Mailing Address

Phone number

(703) 891-4070

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 90,149,716

Red Flags

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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Frank J. Mcgovern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank James Mcgovern JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

MUTUAL SERVICE CORPORATION

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

AMERICAN UNITED LIFE INSURANCE COMPANY

ONEAMERICA SECURITIES, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

CAPITOL SECURITIES MANAGEMENT, INC.

INVESTORS SECURITY COMPANY, INC.

THE HARKNESS GROUP,LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/1997

Series 63

Date: 5/11/1984

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Series 22

Date: 5/4/1984

Series 24

Date: 4/24/1997

FINRA

Current Firm

CAPITOL WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITOL WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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