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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

DEBORAH SUE FRANK

Advisor at WESTERN WEALTH MANAGEMENT LLC

GOLDEN, CO | Fort Myers, FL | Woodbridge, CT

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Search this name across graphsid dfx:ria:64a715af-9cb3-1ec2-8e7b-fecc3449a914

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 23, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WESTERN WEALTH MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 2, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 5
Exams: S66|S63
First exam: May 2, 2001
First registration: Jan 23, 2006
Dual registered: yes, broker-dealer
Other names: DEBORAH SUE PETERSON-BRAUN
IAPD individual key: 4046210

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WESTERN WEALTH MANAGEMENT LLC	Independent wealth	Jun 22, 2016	n/a	yes	GOLDEN, CO\|Fort Myers, FL\|Woodbridge, CT	Current employment
WESTERN WEALTH MANAGEMENT LLC	Former SEC adviser	Oct 31, 2014	Jun 22, 2016	no	GOLDEN, CO\|BROOMFIELD, CO	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 1, 2011	Nov 12, 2014	no	BROOMFIELD, CO\|Westminster, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Jul 5, 2011	no	BOULDER, CO\|BROOMFIELD, CO\|LOUISVILLE, CO	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 11, 2006	Jan 3, 2011	no	BOULDER, CO\|LOUISVILLE, CO\|BOULDER, CO\|BROOMFIELD, CO	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jan 23, 2006	Apr 13, 2006	no	BOULDER, CO\|BROOMFIELD, CO\|BROOMFIELD, CO\|Boulder, CO\|BOULDER, CO\|LOUISVILLE, CO\|WESTMINISTER, CO\|ARVADA, CO\|BROOMFIELD, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTERN WEALTH MANAGEMENT LLC	WESTERN WEALTH MANAGEMENT LLC	Jun 22, 2016	Jun 22, 2016	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WESTERN WEALTH MANAGEMENT LLC	Nov 12, 2014	Oct 31, 2014	-12	Firm change	Other
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 5, 2011	Jul 1, 2011	-4	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
U.S. BANCORP INVESTMENTS, INC.	WELLS FARGO INVESTMENTS, LLC	Apr 13, 2006	Apr 11, 2006	-2	Firm change	Other

Relationships

Registered with (6)

→ WESTERN WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Jun 22, 2016 to presentfactForm ADV
→ WESTERN WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Oct 31, 2014 to Jun 22, 2016factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 1, 2011 to Nov 12, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Jul 5, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 11, 2006 to Jan 3, 2011factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 23, 2006 to Apr 13, 2006factForm ADV

Dated events

No dated event names this entity yet.