Frank T. Pugliese

PERSONAL FINANCIAL PROFILES

Coral Springs, FL 33065

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CRD#: 800323

Professional summary

Frank Thomas Pugliese, CIMA® is a registered financial advisor currently at PERSONAL FINANCIAL PROFILES INC located in Coral Springs, Florida and APW CAPITAL, INC. located in Coral Springs, Florida.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Frank has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

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.

1-PERSONAL FINANCIAL PROFILES INC.; INVESTMENT RELATED; 2801 UNIVERSITY DRIVE, SUITE 201B, CORAL SPRINGS FL 33065; RIA; CHAIRMAN-EMERITUS (SINCE 04/2018); 1989; 200+HRS/MONTH; 7.5 HRS/DAY; CEO, CHIEF PORTFOLIO MANAGER, PRINCIPAL 2) PUGLIESE FINANCIAL CORP; NON-INVESTMENT RELATED;2801 UNIVERSITY DR #201 B CORAL SPRINGS FL 33065;PROVIDE INS SOLUTIONS;STARTED 09/1979;2 HOURS PER WEEK 3) APW CAPITAL, INC FKA COMPREHENSIVE ASSET MANAGEMENT & SERVICING, INC.; INVESTMENT RELATED; CORAL SPRINGS, FL; REG REP; 01/2014; 5% OF HIS TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Thomas Pugliese'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 30, 1992 - Present

PERSONAL FINANCIAL PROFILES INC

Office #1: 10100 W. Sample Road Suite 201, Coral Springs, FL 33065

RIA

CRD#: 109327

Coral Springs, FL

Current

January 2, 2014 - Present

APW CAPITAL, INC.

Office #1: 10100 West Sample Road, Suite 201, Coral Springs, FL 33065

CRD#: 43814

Coral Springs, FL

Past

August 5, 2011 - December 31, 2013

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

CORAL SPRINGS, FL

Past

March 28, 2007 - August 5, 2011

TRIAD ADVISORS LLC

CRD#: 25803

CORAL SPRINGS, FL

Past

May 3, 1999 - March 28, 2007

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

CORAL SPRINGS, FL

Past

July 1, 1991 - April 12, 1999

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

December 10, 1979 - July 5, 1991

CHRIS SECURITIES INC.

CRD#: 4453

Past

October 11, 1977 - December 16, 1978

INVESTORS ASSOCIATES, INC.

CRD#: 958

Past

November 4, 1974 - December 12, 1976

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

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".

PERSONAL FINANCIAL PROFILES INC

CRD#: 109327 / SEC#: 801-78068

RIA

Registered Investment Advisory firm - (5/20/2013 Approved)

Florida

Registered Investment Advisory firm - (5/21/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(1/4/2022)

Arkansas
(1/4/2022)

IAR

Florida
(10/30/1992)

Florida
(1/2/2014)

Hawaii
(3/6/2015)

New Jersey
(6/7/2022)

Ohio
(10/6/2014)

Oregon
(9/27/2023)

Utah
(1/2/2014)

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 65

Date: 4/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/25/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PERSONAL FINANCIAL PROFILES INC

CRD#: 109327 / SEC#: 801-78068

RIA

Registered Investment Advisory firm - (5/20/2013 Approved)

Florida

Registered Investment Advisory firm - (5/21/2013 Terminated)

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Contact information

Main Address

10100 W. Sample Road Suite 201, Coral Springs, FL 33065

Mailing Address

Phone number

(954) 755-8647

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFP ANNUAL FORM ADV PART 2A (2/19/2025)

Regulatory assets under management

Total Number of Accounts	367
AUM (Assets Under Management)	$ 293,882,747

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Frank T. Pugliese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

APW CAPITAL, INC.

FORESTERS EQUITY SERVICES, INC.

TRIAD ADVISORS LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

IFG NETWORK SECURITIES, INC.

CHRIS SECURITIES INC.

INVESTORS ASSOCIATES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

PERSONAL FINANCIAL PROFILES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/1997

Series 63

Date: 1/29/1985

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/25/1974

Series 24

Date: 6/27/1991

FINRA

Current Firm

PERSONAL FINANCIAL PROFILES INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PERSONAL FINANCIAL PROFILES INC

TRUST BUT VERIFY

Contact information

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