Frank P. Mcgoff

ARLEN CAPITAL

WARWICK, RI 02886

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CRD#: 865966

Professional summary

Frank Peter Mcgoff is a registered financial advisor currently at ARLEN CAPITAL, LLC located in Warwick, Rhode Island and OSAIC WEALTH, INC. located in Warwick, Rhode Island.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Frank has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 1, Series 51 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. OWNER OF ARLEN REALTY, LLC - CREATED SOLELY TO PURCHASE OFFICE CONDOMINUIM AT 117 METRO CENTER BLVD. SUITE 2006 WARWICK, RI. PART OF AN M FINANCIAL GROUP MEMBER FIRM, ARLEN CORPORATION, WHICH WORKS CLOSELY WITH INSURANCE CARRIERS TO OFFER PROPRIETARY PRODUCTS. INVESTMENT ADVISORY, ARLEN CAPITAL LLC, YES, 117 METRO CENTER BLVD, SUITE 2006, WARWICK, RI. 02286,EXECUTIVE VP,06/2000,40HRA,40HRS,FUNCTION IN THE CAPACITY OF AN ADVISOR 2. ARLENCORPORATION POSITION: Officer NATURE: Corporation - INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/01/2000 ADDRESS: 117 Metro Center Boulevard Suite 2006 Warwick, RI 02886, Suite 2006, Warwick RI 02886, United States DESCRIPTION: Non-Variable Life Insurance Sales & Service 3. ARLEN CAPITAL, LLC POSITION: Executive Vice President NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2000 ADDRESS: 117 Metro Center Boulevard Suite 2006 Warwick, RI 02886, Suite 2006, Warwick RI 02886, United States DESCRIPTION: EVP and I function in the capacity of an advisor. 4.ARLEN REALTY POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/2008 ADDRESS: 117 Metro Center Blvd, Suite 2006, Warwcik RI 02886, United States DESCRIPTION: The sole purpose of Arlen Realty is to own our office condo that Arlen Corporation resides. It does not have any other objectives.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Peter Mcgoff'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

June 1, 2001 - Present

ARLEN CAPITAL, LLC

Office #1: 117 Metro Center Boulevard Suite 2006, Warwick, RI 02886

RIA

CRD#: 118113

WARWICK, RI

Current

April 12, 2001 - Present

OSAIC WEALTH, INC.

Office #1: 117 Metro Center Blvd Suite 2006, Warwick, RI 02886

RIA

CRD#: 23131

Warwick, RI

Past

February 12, 1999 - April 6, 2001

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

July 19, 1979 - March 25, 1991

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

May 9, 1979 - August 9, 1979

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

May 9, 1979 - August 9, 1979

MONY SECURITIES CORPORATION

CRD#: 4386

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".

ARLEN CAPITAL, LLC

ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS

CRD#: 118113 / SEC#: 801-63038

RIA

Registered Investment Advisory firm - (4/14/2004 Approved)

Rhode Island

Registered Investment Advisory firm - (4/21/2004 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

Alaska
(3/24/2011)

Arizona
(7/20/2006)

California
(7/20/2006)

Connecticut
(6/6/2003)

Florida
(6/2/2006)

Georgia
(2/23/2007)

Illinois
(7/28/2011)

Indiana
(5/10/2018)

Kansas
(8/15/2007)

Louisiana
(7/20/2006)

Maine
(10/19/2005)

Maryland
(7/20/2006)

Massachusetts
(6/6/2003)

Michigan
(5/7/2007)

Minnesota
(3/12/2014)

Nevada
(2/22/2007)

New Hampshire
(7/20/2006)

New Jersey
(6/30/2003)

New York
(6/6/2003)

North Carolina
(2/25/2007)

Ohio
(8/5/2010)

Oregon
(5/21/2012)

Pennsylvania
(11/18/2016)

Rhode Island
(4/12/2001)

IAR

Rhode Island
(6/1/2001)

South Carolina
(7/20/2006)

Texas
(7/20/2006)

Vermont
(9/1/2009)

Virginia
(7/3/2006)

Washington
(9/15/2014)

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: 7/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/13/1999

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: 9/19/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/11/1999

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 1

Date: 5/3/1979

Registered Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/28/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ARLEN CAPITAL, LLC

ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS

CRD#: 118113 / SEC#: 801-63038

RIA

Registered Investment Advisory firm - (4/14/2004 Approved)

Rhode Island

Registered Investment Advisory firm - (4/21/2004 Terminated)

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Contact information

Main Address

117 Metro Center Boulevard Suite 2006, Warwick, RI 02886

Mailing Address

Phone number

(401) 854-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/11/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 331,251,085

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.

Contact information

xxxxx@xxxx.xxx

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CITIZENS SECURITIES, INC.

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Advisor Monitoring

Firm Stability Insights

Frank P. Mcgoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Peter Mcgoff's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

MUTUAL SERVICE CORPORATION

TOWER SQUARE SECURITIES, INC.

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

ARLEN CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/1999

Series 63

Date: 2/13/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/19/2000

Series 6

Date: 2/11/1999

Series 1

Date: 5/3/1979

Series 51

Date: 3/28/2003

Series 24

Date: 11/9/2000

FINRA

Current Firm

ARLEN CAPITAL, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARLEN CAPITAL, LLC

TRUST BUT VERIFY

Contact information

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