Tracey D. Frank
Professional summary
Tracey Douglas Frank is a registered financial advisor currently at SPIRE WEALTH MANAGEMENT, LLC located in Colorado Springs, Colorado and SPIRE SECURITIES, LLC located in Mclean, Virginia.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Tracey has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Douglas Frank's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2009 - Present
SPIRE WEALTH MANAGEMENT, LLC
October 2, 2009 - Present
SPIRE SECURITIES, LLC
Office #1: 7901 Jones Branch Dr. Suite 810, Mclean, VA 22102July 2, 2007 - October 8, 2009
SECURITIES AMERICA ADVISORS, INC.
June 29, 2007 - October 8, 2009
SECURITIES AMERICA, INC.
August 9, 2004 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
August 4, 2004 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
May 24, 2000 - July 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - July 20, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 31, 1991 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 29, 1988 - November 4, 1991
VIP FINANCIAL COMPANIES, INC.
November 25, 1987 - November 22, 1988
PRO-FINANCIAL SECURITIES, INC.
Primary Firm SEC Registration
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/2/2009)
(10/2/2009)
(10/2/2009)
(10/2/2009)
(9/1/2011)
(10/2/2009)
(10/9/2009)
(1/3/2018)
(10/2/2009)
(10/2/2009)
(7/2/2021)
(10/2/2009)
Exams
Series 8
Date: 12/10/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
SPIRE WEALTH MANAGEMENT, LLC
CRD#: 113908 / SEC#: 801-60468
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,808 |
| AUM (Assets Under Management) | $ 4,617,171,037 |
Red Flags
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