Frank Peter Mcgoff
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS
Contact Information
Main Address
117 Metro Center Boulevard Suite 2006, Warwick, RI 02886Phone Number
(401) 854-3500# of Employees
6SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
690AUM (Assets Under Management)
$348,820,421Similar Advisors
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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.
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Primary Firm SEC Registration
ARLEN CAPITAL, LLC | ROGERS FINANCIAL PARTNERS
State Registrations and Notice Filings
(3/24/2011)
(7/20/2006)
(7/20/2006)
(6/6/2003)
(6/2/2006)
(2/23/2007)
(7/28/2011)
(5/10/2018)
(8/15/2007)
(7/20/2006)
(10/19/2005)
(7/20/2006)
(6/6/2003)
(5/7/2007)
(3/12/2014)
(2/22/2007)
(7/20/2006)
(6/30/2003)
(6/6/2003)
(2/25/2007)
(8/5/2010)
(5/21/2012)
(11/18/2016)
(4/12/2001)
(6/1/2001)
(7/20/2006)
(7/20/2006)
(9/1/2009)
(7/3/2006)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1999About the Series 6 examSeries 1 — Registered Representative Examination
Passed May 1979SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Frank Peter Mcgoff's CRS (Customer Relationship Summary).
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