Frank T. Vandy

SPIRE WEALTH MANAGEMENT

Aurora, IL 60506

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CRD#: 4476750

Professional summary

Frank Thomas Vandy, who also goes by Frank T Vandy, is a registered financial advisor currently at SPIRE WEALTH MANAGEMENT, LLC located in Aurora, Illinois and SPIRE SECURITIES, LLC located in Aurora, Illinois.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Frank has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank T Vandy

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.

10/2021 Registered as an IAR of Spire Wealth Management, an SEC RIA and affiliate of Spire Securities. DBA: 3 Point Financial: Branding entity to conduct Spire related activities. Start 10/2021 - full time during market hours. 10/11/2011: REAL ESTATE RENTAL - RENTAL PROPERTY. HOME. - YORKVILLE, IL 60580. 10/11/2011: NON-VARIABLE INSURANCE - FIXED ANNUITIES AND LIFE INSURANCE. - YORKVILLE, IL.

CRS (Client Relationship Summary) - RIA

Click below to view Frank Thomas Vandy'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

October 13, 2021 - Present

SPIRE WEALTH MANAGEMENT, LLC

Office #1: 315 W. Downer Place, #1, Aurora, IL 60506

RIA

CRD#: 113908

Aurora, IL

Current

September 7, 2021 - Present

SPIRE SECURITIES, LLC

Office #1: 315 W. Downer Place, #1, Aurora, IL 60506

CRD#: 144131

Aurora, IL

Past

September 3, 2021 - September 3, 2021

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

Yorkville, IL

Past

April 3, 2015 - August 20, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

YORKVILLE, IL

Past

October 11, 2011 - August 20, 2021

LPL FINANCIAL LLC

CRD#: 6413

YORKVILLE, IL

Past

July 15, 2005 - October 19, 2011

ONEAMERICA SECURITIES, INC.

CRD#: 4173

YORKVILLE, IL

Past

August 7, 2002 - February 21, 2003

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

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".

SPIRE WEALTH MANAGEMENT, LLC

LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA

Registered Investment Advisory firm - (8/17/2001 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.

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

California
(5/27/2022)

Florida
(11/5/2021)

Illinois
(10/13/2021)

IAR

Illinois
(10/13/2021)

Iowa
(8/18/2022)

Wisconsin
(10/19/2021)

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 66

Date: 4/1/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/15/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/2005

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SPIRE WEALTH MANAGEMENT, LLC

LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA

Registered Investment Advisory firm - (8/17/2001 Approved)

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Contact information

Main Address

7901 Jones Branch Dr. Suite 810, Mclean, VA 22102

Mailing Address

7901 Jones Branch Drive Suite 800, Mclean, VA 22102

Phone number

(703) 657-6060

Established

Firm type

Fiscal year end

# of Employees

165

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 SPIRE WEALTH MANAGEMENT ADV 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	15,808
AUM (Assets Under Management)	$ 4,617,171,037

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.

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Frank T. Vandy

Professional summary

Question & Answer

Aliases

Other business activities

CRS (Client Relationship Summary) - RIA

Click below to view Frank Thomas Vandy's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE SECURITIES, LLC

SPIRE WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ONEAMERICA SECURITIES, INC.

DWS DISTRIBUTORS, INC.

Primary Firm SEC Registration

SPIRE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2015

Series 63

Date: 7/15/2005

SIE

Date: 10/1/2018

Series 7

Date: 7/30/2013

Series 6

Date: 7/14/2005

FINRA

Current Firm

SPIRE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPIRE WEALTH MANAGEMENT, LLC

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