Frank E. Pagan

WESTBROOK INVESTMENT ADVISORY

Kissimmee, FL

Some features on this profile are disabled

CRD#: 2305449

Professional summary

Frank Eric Pagan is a registered financial advisor currently at WESTBROOK INVESTMENT ADVISORY, LLC located in Kissimmee, Florida and SOVEREIGN LEGACY SECURITIES, INC. located in Pinehurst, North Carolina.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Frank has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6 and Series 26 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.

*FRANK E PAGAN, 1773 LEE JANZEN DRIVE, KISSIMMEE FL 34744; INV REL; MARKET INSURANCE PRODUCTS; AGENT; START DATE=02/2018; HRS/MO=80; TRADING HRS/MO=80; SELL FIXED PRODUCTS--LIFE, HEALTH, DI, ANNUITIES; WESTBROOK INVESTMENT ADVISORY, LLC (CRD# 313125) APPLICATION WAS APPROVED 12/10/2021. FRANK E. PAGAN SERVES AS THE PRESIDENT AND INVESTMENT ADVISOR. THE ADDRESS, 1773 LEE JANZEN DRIVE, KISSIMMEE FL 34744. THE FIRM IS INVESTMENT RELATED AND PROVIDES INVESTMENT ADVISORY SERVICES UTILIZING A SELECTION OF OTHER ADVISORS (INCLUDING PRIVATE FUND MANAGERS) IN THE FORM OF DISCRETIONARY INVESTMENT MANAGEMENT,QUALIFIED PLAN CONSULTING AND FINANCIAL CONSULTING SERVICES TO INDIVIDUALS, TRUSTS, ESTATES, BUSINESSES AND CHARITIES. THE AMOUNT OF TIME DEVOTED TO THIS BUSINESS IS 80 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Eric Pagan'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®

None

Experience

Current

December 10, 2021 - Present

WESTBROOK INVESTMENT ADVISORY, LLC

RIA

CRD#: 313175

Kissimmee, FL

Current

January 11, 2021 - Present

SOVEREIGN LEGACY SECURITIES, INC.

Office #1: 100 Gray Fox Run, Pinehurst, NC 28374

CRD#: 1783

Pinehurst, NC

Past

February 28, 2018 - December 31, 2020

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

Kissimmee, FL

Past

February 23, 2018 - December 31, 2020

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

Kissimmee, FL

Past

February 4, 2011 - February 26, 2018

ROBO ADVISOR, INC.

RIA

CRD#: 155976

LONGWOOD, FL

Past

December 23, 2010 - February 23, 2018

SOVEREIGN LEGACY SECURITIES, INC.

CRD#: 1783

LONGWOOD, FL

Past

April 9, 2008 - December 31, 2010

SPC

RIA

CRD#: 110692

HEATHROW, FL

Past

March 24, 2000 - December 31, 2010

SIGMA FINANCIAL CORPORATION

CRD#: 14303

HEATHROW, FL

Past

February 10, 1993 - March 14, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 10, 1993 - March 14, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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

Connecticut
(8/17/2022)

District of Columbia
(1/17/2024)

Florida
(4/5/2021)

IAR

Florida
(12/10/2021)

Georgia
(3/3/2021)

Maryland
(7/15/2021)

New Jersey
(8/18/2022)

New York
(1/11/2021)

North Carolina
(1/11/2021)

Oregon
(7/5/2022)

Pennsylvania
(6/12/2025)

South Carolina
(6/29/2021)

Virginia
(2/17/2024)

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: 4/7/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/8/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/24/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

WESTBROOK INVESTMENT ADVISORY, LLC

CRD#: 313175 / SEC#:

Florida

Registered Investment Advisory firm - (12/10/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Kissimmee, FL

Mailing Address

Phone number

(407) 234-3727

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frank E. Pagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Eric Pagan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN LEGACY SECURITIES, INC.

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

ROBO ADVISOR, INC.

SOVEREIGN LEGACY SECURITIES, INC.

SPC

SIGMA FINANCIAL CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/7/2008

Series 63

Date: 11/9/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 2/8/1993

Series 26

Date: 8/24/1998

FINRA

Current Firm

WESTBROOK INVESTMENT ADVISORY, LLC

Contact information

Documents

Red Flags

Company Information

WESTBROOK INVESTMENT ADVISORY, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors