TrueAdvisor
TrueAdvisor
TF
TF

Tracey Frank

Spire Wealth Management, LLC
38 Years of Experience
Colorado Springs, CO
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Tracey Frank is a registered investment advisor at Spire Wealth Management, LLC, based in Colorado Springs, CO, with 38 years of industry experience. Tracey is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 6,379 clients with $4.5B in assets under management.

Spire Wealth Management, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
66 advisors
Number of Clients
6,379 clients
Average Client Portfolio
$708K average
Assets Under Management
$4.5B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees generally range from 0.02% to 2.25% of assets under management. Individual advisors set specific fee schedules and retain discretion to negotiate alternative fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Colorado Springs, CO

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
July 2004
Customer Dispute
May 2003
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tracey is an investment advisor representative of Spire Wealth, conducting business through an approved DBA, Strategic Advisors, Inc.

Employment History
Current Registrations
Spire Wealth Management, LLC
October 2009 - Present · 17 yrs
Spire Securities, LLC
October 2009 - Present · 17 yrs
Spire Securities, LLCBroker
October 2009 - Present · 17 yrs
Previous Registrations
Securities America Advisors, INC.
July 2007 - October 2009 · 2 yrs 3 mos
Securities America, INC.Broker
June 2007 - October 2009 · 2 yrs 4 mos
Brookstreet Capital Management
August 2004 - July 2007 · 2 yrs 11 mos
Brookstreet Securities CorporationBroker
August 2004 - July 2007 · 2 yrs 11 mos
Raymond James Financial Services
May 2000 - July 2004 · 4 yrs 2 mos
Raymond James Financial Services, INC.Broker
January 1999 - July 2004 · 5 yrs 6 mos
Robert Thomas Securities, INCBroker
October 1991 - January 1999 · 7 yrs 3 mos
Vip Financial Companies, INC.Broker
November 1988 - November 1991 · 3 yrs
Pro-Financial Securities, INC.Broker
November 1987 - November 1988 · 1 yr
State Registrations11 states
AZCACOFLIAILLAMDOHTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Colorado Springs, CO →All financial advisors in Colorado →