Frank G. Mcguire
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Gleason Mcguire III, who also goes by Frank Gleason Mcguire, was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 1969. Frank had worked at 12 firms and has passed the Series 65, Series 63, Series 1, F04 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2009 - July 11, 2011
WFG ADVISORS, LP
June 10, 2004 - July 11, 2011
WFG INVESTMENTS, INC.
March 26, 2004 - September 30, 2009
CENTURY ADVISORS, LLC
June 29, 1999 - June 10, 2004
SPELMAN & CO., INC.
May 24, 1999 - June 10, 2004
SPELMAN & CO., INC.
April 15, 1994 - June 16, 1999
CENTURY INVESTMENT GROUP INCORPORATED
April 16, 1993 - September 10, 1997
GIRARD SECURITIES, INC.
January 24, 1983 - October 9, 1987
FIRST AFFILIATED SECURITIES, INC.
March 24, 1980 - March 12, 1981
LEHMAN BROTHERS INC.
February 26, 1980 - May 24, 1994
PAS, INC.
January 31, 1980 - June 5, 1980
UBS FINANCIAL SERVICES INC.
April 7, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
November 19, 1969 - May 22, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/24/1969
Registered Representative ExaminationF04
Date: 2/26/1980
Financial Principal ExaminationCurrent Firm
WFG ADVISORS, LP
CRD#: 125073 / SEC#: 801-61945
Contact information
Documents
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.
