FM
Frank V. Mahoney
WINCAP FINANCIAL LLC
Boston, MA 02108
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CRD#: 7930357
FM
Professional summary
Frank Veneau Mahoney is a registered financial advisor currently at WINCAP FINANCIAL LLC located in Boston, Massachusetts.
Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Frank has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Veneau Mahoney'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
July 26, 2024 - Present
WINCAP FINANCIAL LLC
Office #1: 55 Union Street Unit 31, Boston, MA 02108RIA
CRD#: 315798
Boston, MA
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".
WF
WINCAP FINANCIAL LLC
WINCAP FINANCIAL LLC
CRD#: 315798 / SEC#: 801-131123
RIA
Registered Investment Advisory firm - (9/13/2024 Approved)Massachusetts
Registered Investment Advisory firm - (9/30/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (10/3/2024 Terminated)North Carolina
Registered Investment Advisory firm - (9/30/2024 Terminated)Texas
Registered Investment Advisory firm - (9/30/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Massachusetts(7/26/2024)
Current Firm
WF
WINCAP FINANCIAL LLC
WINCAP FINANCIAL LLC
CRD#: 315798 / SEC#: 801-131123
RIA
Registered Investment Advisory firm - (9/13/2024 Approved)Massachusetts
Registered Investment Advisory firm - (9/30/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (10/3/2024 Terminated)North Carolina
Registered Investment Advisory firm - (9/30/2024 Terminated)Texas
Registered Investment Advisory firm - (9/30/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 Union Street, Boston, MA 02108
Mailing Address
Phone number
(617) 590-3250
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 466 |
| AUM (Assets Under Management) | $ 153,250,285 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WINCAP FINANCIAL LLC
CRD#: 315798Boston, MA 02108TRUST BUT VERIFY
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