DF
Deborah S. Frank
WESTERN WEALTH MANAGEMENT LLC
Lakeview, AR
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CRD#: 4046210
DF
Professional summary
Deborah Sue Frank, who also goes by Deborah Sue Peterson-braun, is a registered financial advisor currently at WESTERN WEALTH MANAGEMENT LLC located in Lakeview, Arkansas and LPL FINANCIAL LLC located in Golden, Colorado.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Deborah has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Sue Peterson-Braun
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.
1. 10/31/2014 - D. FRANK AND ASSOCIATES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 0%/ BROOMFIELD, CO 2. 11/10/2014 - WESTERN WEALTH MANAGEMENT, LLC - REGISTERED INVESTMENT ADVISOR DBA - D. FRANK & ASSOCIATES - BROOMFIELD, CO 3. 11/10/2014 - WESTERN WEALTH MANAGEMENT, LLC - REGISTERED INVESTMENT ADVISOR HYBRID - BROOMFIELD, CO
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Sue Frank'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®
NoneExperience
Current
June 22, 2016 - Present
WESTERN WEALTH MANAGEMENT LLC
RIA
CRD#: 283545
Lakeview, AR
Current
October 31, 2014 - Present
LPL FINANCIAL LLC
Office #1: 14143 Denver West Pkwy Ste 450, Golden, CO 80401RIA
BD
CRD#: 6413
Golden, CO
Past
May 2, 2018 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKEVIEW, AR
Past
October 31, 2014 - June 22, 2016
WESTERN WEALTH MANAGEMENT LLC
RIA
CRD#: 167344
BROOMFIELD, CO
Past
July 1, 2011 - November 12, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BROOMFIELD, CO
Past
July 1, 2011 - November 12, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BROOMFIELD, CO
Past
January 3, 2011 - July 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
BROOMFIELD, CO
Past
January 3, 2011 - July 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BROOMFIELD, CO
Past
April 11, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BROOMFIELD, CO
Past
April 11, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
BROOMFIELD, CO
Past
January 23, 2006 - April 13, 2006
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
BROOMFIELD, CO
Past
April 26, 2001 - April 13, 2006
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
BROOMFIELD, CO
Past
April 26, 2000 - March 8, 2001
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WW
WESTERN WEALTH MANAGEMENT LLC
ADVANCED DIVORCE SOLUTIONS, LLC | WOODLAKE WEALTH MANAGEMENT | WHITSELL FINANCIAL PARTNERS | WHITE HAWK WEALTH MANAGEMENT | WESTERN WEALTH MANAGEMENT LLC | WESTERN WEALTH ADVISORS, TEXAS | WESTERN WEALTH ADVISORS | VALOR PRIVATE CAPITAL | TRUE NORTH PARTNERS | SUMMIT FINANCIAL GROUP | SENTINEL WEALTH MANAGEMENT | ROCKY MOUNTAIN WEALTH MANAGEMENT | RETIRE BY DESIGN GROUP | QUO VADIS FINANCIAL PARTNERS | PEAKS INTEGRITY WEALTH MANAGEMENT LLC | PEAK WEALTH ADVISORS | PEAK ONE FINANCIAL | PALADIN WEALTH MANAGEMENT, LLC | OAKCREST INVESTMENT SERVICES | NEW WEST ADVISORS | NEW HORIZONS FINANCIAL CONSULTANTS | MULBERRY WEALTH MANAGEMENT | MONARCH ADVISORY GROUP | MAKKAI CAPITAL MANAGEMENT | MAJESTIC WEALTH MANAGEMENT, LLC | MAIN GATE ASSET MANAGEMENT LLC | LONGVIEW WEALTH STRATEGIES | LIVING YOUR WEALTH | KEYSTONE FINANCIAL SERVICES | KENNEBEC WEALTH MANAGEMENT | JUMET FINANCIAL LLC | JACKSON FINANCIAL MANAGEMENT | INVESTMENT CENTER LOCATED AT CREDIT UNION OF COLORADO | INVESTMENT & RETIREMENT CENTER LOCATED AT CREDIT UNION OF DENVER | INVESTMENT & RETIREMENT CENTER LOCATED AT AIR ACADEMY FEDERAL CREDIT UNION | INTEGRATED WEALTH STRATEGIES | INTEGRATED FINANCIAL WELLNESS | HOLLAND FINANCIAL INC. | HASSON FINANCIAL | GRENADIER FINANCIAL | GAIA WEALTH MANAGEMENT | FRONT RANGE WEALTH MANAGEMENT | FORWARD FINANCIAL STRATEGIES | FORTUNATE FAMILY OFFICES | FORTUNATE FAMILY OFFICE | FLEMING FINANCIAL MANAGEMENT | FINANCIAL PLANNING CONCEPTS | FAIRLEY WEALTH MANAGEMENT | EZZELL FINANCIAL GROUP | EXPLORENT WEALTH MANAGEMENT | DURANGO FINANCIAL PLANNING | DURABLE WEALTH MANAGEMENT | DIVIDEND WEALTH ADVISORS | DESTINATION INVESTMENT STRATEGIES | DELOIA WEALTH MANAGEMENT | DC & ASSOCIATES, INC. ADVANCED FINANCIAL SOLUTIONS | DC & ASSOCIATES, INC. | D. FRANK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT | COMPASS BENEFIT PARTNERS | CLEARFOCUS WEALTH ADVISORS | CENTRAL PARK PRIVATE WEALTH MANAGEMENT | CASTLE ROCK PRIVATE WEALTH LLC | CASTLE PINES WEALTH MANAGEMENT GROUP | BUSINESS AND PERSONAL FINANCE, LTD. | BUSINESS & PERSONAL FINANCE LTD | BLANCHARD WEALTH MANAGEMENT | BILLOWS FINANCIAL | BEDFORD WEALTH ADVISORS | ARROW WEALTH MANAGEMENT | APRISENT FINANCIAL GROUP | ALPHA INVESTMENT STRATEGIES | ALLOCATED FINANCIAL PLANNING | AFFINITY WEALTH MANAGEMENT GROUP
CRD#: 283545 / SEC#: 801-107762
RIA
Registered Investment Advisory firm - (5/31/2016 Approved)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.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
Arizona(10/31/2014)
RR
Arkansas(1/8/2020)
IAR
Arkansas(8/8/2022)
RR
California(10/31/2014)
RR
Colorado(10/31/2014)
IAR
Colorado(6/22/2016)
RR
Connecticut(8/2/2024)
IAR
Connecticut(8/5/2024)
RR
Illinois(12/23/2014)
RR
New Mexico(2/4/2016)
IAR
Texas(6/22/2016)
RR
West Virginia(6/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WESTERN WEALTH MANAGEMENT LLC
ADVANCED DIVORCE SOLUTIONS, LLC | WOODLAKE WEALTH MANAGEMENT | WHITSELL FINANCIAL PARTNERS | WHITE HAWK WEALTH MANAGEMENT | WESTERN WEALTH MANAGEMENT LLC | WESTERN WEALTH ADVISORS, TEXAS | WESTERN WEALTH ADVISORS | VALOR PRIVATE CAPITAL | TRUE NORTH PARTNERS | SUMMIT FINANCIAL GROUP | SENTINEL WEALTH MANAGEMENT | ROCKY MOUNTAIN WEALTH MANAGEMENT | RETIRE BY DESIGN GROUP | QUO VADIS FINANCIAL PARTNERS | PEAKS INTEGRITY WEALTH MANAGEMENT LLC | PEAK WEALTH ADVISORS | PEAK ONE FINANCIAL | PALADIN WEALTH MANAGEMENT, LLC | OAKCREST INVESTMENT SERVICES | NEW WEST ADVISORS | NEW HORIZONS FINANCIAL CONSULTANTS | MULBERRY WEALTH MANAGEMENT | MONARCH ADVISORY GROUP | MAKKAI CAPITAL MANAGEMENT | MAJESTIC WEALTH MANAGEMENT, LLC | MAIN GATE ASSET MANAGEMENT LLC | LONGVIEW WEALTH STRATEGIES | LIVING YOUR WEALTH | KEYSTONE FINANCIAL SERVICES | KENNEBEC WEALTH MANAGEMENT | JUMET FINANCIAL LLC | JACKSON FINANCIAL MANAGEMENT | INVESTMENT CENTER LOCATED AT CREDIT UNION OF COLORADO | INVESTMENT & RETIREMENT CENTER LOCATED AT CREDIT UNION OF DENVER | INVESTMENT & RETIREMENT CENTER LOCATED AT AIR ACADEMY FEDERAL CREDIT UNION | INTEGRATED WEALTH STRATEGIES | INTEGRATED FINANCIAL WELLNESS | HOLLAND FINANCIAL INC. | HASSON FINANCIAL | GRENADIER FINANCIAL | GAIA WEALTH MANAGEMENT | FRONT RANGE WEALTH MANAGEMENT | FORWARD FINANCIAL STRATEGIES | FORTUNATE FAMILY OFFICES | FORTUNATE FAMILY OFFICE | FLEMING FINANCIAL MANAGEMENT | FINANCIAL PLANNING CONCEPTS | FAIRLEY WEALTH MANAGEMENT | EZZELL FINANCIAL GROUP | EXPLORENT WEALTH MANAGEMENT | DURANGO FINANCIAL PLANNING | DURABLE WEALTH MANAGEMENT | DIVIDEND WEALTH ADVISORS | DESTINATION INVESTMENT STRATEGIES | DELOIA WEALTH MANAGEMENT | DC & ASSOCIATES, INC. ADVANCED FINANCIAL SOLUTIONS | DC & ASSOCIATES, INC. | D. FRANK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT | COMPASS BENEFIT PARTNERS | CLEARFOCUS WEALTH ADVISORS | CENTRAL PARK PRIVATE WEALTH MANAGEMENT | CASTLE ROCK PRIVATE WEALTH LLC | CASTLE PINES WEALTH MANAGEMENT GROUP | BUSINESS AND PERSONAL FINANCE, LTD. | BUSINESS & PERSONAL FINANCE LTD | BLANCHARD WEALTH MANAGEMENT | BILLOWS FINANCIAL | BEDFORD WEALTH ADVISORS | ARROW WEALTH MANAGEMENT | APRISENT FINANCIAL GROUP | ALPHA INVESTMENT STRATEGIES | ALLOCATED FINANCIAL PLANNING | AFFINITY WEALTH MANAGEMENT GROUP
CRD#: 283545 / SEC#: 801-107762
RIA
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Contact information
Main Address
14143 Denver Pkwy., Ste 450, Golden, CO 80401
Mailing Address
Phone number
(303) 393-2404
Established
Firm type
Fiscal year end
# of Employees
91
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,250 |
| AUM (Assets Under Management) | $ 3,944,223,085 |
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.
