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FS

Frank D. Spinale

WORLD CAPITAL BROKERAGE
Denver, CO 80203
Some features on this profile are disabled
CRD#: 2309482
FS

Professional summary

Frank Daniel Spinale JR, who also goes by Frank D Spinale Jr, Frank D Spinale, Frank Daniel Spinale, Frank Spinale, is a registered financial professional currently at WORLD CAPITAL BROKERAGE, INC. located in Denver, Colorado.

Frank is registered as a RR (Registered Representative) and started their career in finance in 1993. Frank has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank D Spinale Jr | Frank D Spinale | Frank Daniel Spinale | Frank Spinale

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frank Daniel Spinale JR's CRS (Customer Relationship Summary).
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

January 15, 2021 - Present

WORLD CAPITAL BROKERAGE, INC.

Office #1: 1636 Logan Street, Denver, CO 80203
BD
CRD#: 37
Denver, CO
Past

December 18, 2013 - February 1, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
THOUSAND OAKS, CA
Past

February 17, 2005 - November 26, 2013

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

June 18, 2002 - October 14, 2004

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

February 11, 2000 - December 17, 2001

CULLUM & BURKS SECURITIES, INC.

BD
CRD#: 46600
DALLAS, TX
Past

January 26, 1993 - December 3, 1999

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

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

RR
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

RR
Arkansas
(2/4/2022)
RR
California
(1/15/2021)
RR
Louisiana
(10/30/2024)
RR
Nevada
(8/26/2021)
RR
Texas
(1/29/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WORLD CAPITAL BROKERAGE, INC.
WORLD CAPITAL BROKERAGE, INC.
A.G.F. SPONSORS, INC. | WORLD CAPITAL BROKERAGE, INC. | AMERICAN GROWTH FUND SPONSORS, INC.

CRD#: 37 / SEC#: , 8-6805

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1636 N. Logan Street, Denver, CO 80203
Mailing Address
1636 N. Logan Street, Denver, CO 80203
Phone number
(303) 626-0631
Established
Colorado since 07/18/1958
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AGF HOLDINGS INC.OWNER
BLUM, PATRICIA ANNVICE PRESIDENT4467584
GAUGHAN, MICHAEL LAWRENCEVICE PRESIDENT, SECRETARY2915597
TAGGART, TIMOTHY EUGENECHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, SALES, MARKETING, TRAINING & DIRECTOR1075525

Disclosures

Regulatory Event3

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.

Company Information

WORLD CAPITAL BROKERAGE, INC.

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37Denver, CO 80203

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