FB
Frank L. Brittingham
CETERA INVESTMENT ADVISERS LLC
SALISBURY, MD 21804
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CRD#: 1005692
FB
Professional summary
Frank Lane Brittingham is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salisbury, Maryland and CETERA ADVISORS LLC located in Salisbury, Maryland.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Frank has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) NAME OF OTHER BUSINESS: CFS INC., DBA COMPREHENSIVE FINANCIAL SOLUTIONS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 7/2016 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER BRIEF DESCRIPTION OF DUTIES: PRODUCING REP; 2. NAME OF OTHER BUSINESS: FRANK L BRITTINGHAM, LLC, INVESTMENT RELATED: NO, ADDRESS: 1 PINDERS COURT, BERLIN, MD 21811, NATURE OF BUSINESS: REAL ESTATE, START DATE: 09/2020 POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK 1, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: COLLECT RENT, REPAIR MAINTENANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Frank Lane Brittingham's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 953 Mt Hermon Rd, Salisbury, MD 21804RIA
CRD#: 105644
SALISBURY, MD
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 953 Mt Hermon Rd, Salisbury, MD 21804BD
CRD#: 10299
Salisbury, MD
Past
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SALISBURY, MD
Past
July 29, 1998 - January 1, 2004
IFG ADVISORY SERVICES INC
RIA
CRD#: 105316
SALISBURY, MD
Past
January 1, 1996 - January 2, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
October 11, 1988 - January 1, 1996
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
Past
June 6, 1986 - October 12, 1988
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
July 12, 1982 - June 19, 1986
OSAIC FS, INC.
BD
CRD#: 3870
Past
November 26, 1981 - June 22, 1982
WADDELL & REED
BD
CRD#: 866
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/12/2019)
RR
Delaware(1/1/2004)
RR
Florida(1/1/2004)
RR
Iowa(3/5/2024)
RR
Maine(6/19/2013)
RR
Maryland(1/1/2004)
IAR
Maryland(3/21/2024)
RR
Montana(2/24/2023)
RR
New Jersey(10/7/2019)
RR
North Carolina(9/11/2015)
RR
Ohio(11/7/2023)
RR
Oregon(7/2/2020)
RR
South Carolina(10/7/2019)
RR
Texas(1/28/2019)
IAR
Texas(3/21/2024)
RR
Virginia(10/2/2007)
RR
Washington(9/1/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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.
