Penny G. Frank
Professional summary
Penny Gae Frank, CFP®, who also goes by Penny G Dokken, Penny Gae Dokken, Penny Gae Fretheim, is a registered financial advisor currently at SPIRE WEALTH MANAGEMENT, LLC located in Colorado Springs, Colorado.
Penny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Penny has worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Penny Gae Frank's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2023 - Present
SPIRE WEALTH MANAGEMENT, LLC
June 6, 2018 - October 27, 2023
UNITED CAPITAL FINANCIAL ADVISORS
April 16, 2001 - October 30, 2012
CHARLES SCHWAB & CO., INC.
October 6, 1999 - October 30, 2012
CHARLES SCHWAB & CO., INC.
October 22, 1997 - October 28, 1999
MORGAN STANLEY DW 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.
Highlighted states indicate IAR registrations
(9/28/2023)
(9/28/2023)
Exams
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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