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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

TRACEY DOUGLAS FRANK

Advisor at SPIRE WEALTH MANAGEMENT, LLC

COLORADO SPRINGS, CO | MCLEAN, VA

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Search this name across graphsid dfx:ria:ca47ea22-9d9b-9cbd-3734-86aebf954d36

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 24, 2000 to Sep 14, 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: SPIRE WEALTH MANAGEMENT, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 6, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63|S65
First exam: Oct 6, 1989
First registration: May 24, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 1773889

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
SPIRE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Oct 14, 2009	n/a	yes	MCLEAN, VA\|COLORADO SPRINGS, CO	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jul 2, 2007	Oct 8, 2009	no	COLORADO SPRINGS, CO	Previous registration
BROOKSTREET SECURITIES CORPORATION	n/a	Aug 9, 2004	Jul 3, 2007	no	COLORADO SPRINGS, CO	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	May 24, 2000	Jul 20, 2004	no	COLORADO SPRINGS, 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
SECURITIES AMERICA ADVISORS, INC.	SPIRE WEALTH MANAGEMENT, LLC	Oct 8, 2009	Oct 14, 2009	6	Firm change	Other
BROOKSTREET SECURITIES CORPORATION	SECURITIES AMERICA ADVISORS, INC.	Jul 3, 2007	Jul 2, 2007	-1	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	BROOKSTREET SECURITIES CORPORATION	Jul 20, 2004	Aug 9, 2004	20	Firm change	Other

Relationships

Registered with (4)

→ SPIRE WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Oct 14, 2009 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jul 2, 2007 to Oct 8, 2009factForm ADV
→ BROOKSTREET SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 9, 2004 to Jul 3, 2007factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 24, 2000 to Jul 20, 2004factForm ADV

Dated events

No dated event names this entity yet.