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Tracey Douglas Frank

Investment Adviser Representative at SPIRE WEALTH MANAGEMENT, LLC

Colorado Springs, COCRD #1773889Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
39 yrs
States Registered
10 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 10 states
ArizonaCaliforniaColoradoFloridaIllinoisIowaLouisianaMarylandOhioWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/1/2005
Series 65
Uniform Investment Adviser Law Examination
Passed 5/12/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 10/6/1989
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 11/21/1987
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 12/10/1996
Series 24
General Securities Principal Examination
Passed 5/4/1990

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Spire Wealth Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SPIRE WEALTH MANAGEMENT, LLCCurrent
10/2/2009Colorado Springs, CO
SPIRE SECURITIES, LLCCurrent
10/2/2009Colorado Springs, CO
SECURITIES AMERICA ADVISORS, INC.
7/2/200710/8/2009Colorado Springs, CO
BROOKSTREET CAPITAL MANAGEMENT
8/9/20047/3/2007Colorado Springs, CO
RAYMOND JAMES FINANCIAL SERVICES
5/24/20007/20/2004Colorado Springs, CO

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Tracey Douglas Frank has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Tracey Douglas Frank - Financial Advisor in Colorado Springs, CO | AdvisorFinder