Charles W. Frost

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CRD#: 1150827

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles William Frost, who also goes by Charles W Frost, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 9 firms and has passed the Series 63, SIE and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles W Frost

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. CHARLES W FROST; NOT INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; INTERNET DOMAIN NAME; START 7/2015; 0 HOURS/WEEK; OWNER OF WWW.CHARLESFROST.NET 2.NAME OF OTHER BUSINESS: CHARLES CARES INVESTMENT RELATED: NO ADDRESS: 32 MILFORD CIR. VOORHEES NJ 08043 NATURE OF BUSINESS: GENERALIZED CONSULTING START DATE: 2/2018 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: UNDERSTAND DIFFICULTIES THAT NEIGHBORS CONFRONT AND TRY AND HELP ; 3. NAME OF OTHER BUSINESS: INSTRUMENT RESEARCH CORPORATION ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: SALES AND MARKETING OF WATER PIPES ; START DATE: 02/2019 ; POSITION/TITLE/RELATIONSHIP: CHAIRMAN / CEO & COO / OWNER APX NUMBER OF HOURS PER WEEK: 6-8 ; APX NUMBER OF HOURS DURING TRADING HOURS: 6-8 ; BRIEF DESCRIPTION OF DUTIES: SALES AND MARKETING OF LABORATORY GLASSWARE ; 4. NAME OF OTHER BUSINESS: CHERRY HILL BUSINESS OPTIMIST CLUB; INVESTMENT RELATED: NO; ADDRESS: 4494 LINDELL BLVD, SAINT LOUIS, MO 63108; NATURE OF BUSINESS: NETWORKING CLUB; START DATE: 01/2020; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN DISCUSSIONS OF SUGGESTED PROJECTS;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - December 3, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

VOORHEES, NJ

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

VOORHEES, NJ

Past

September 3, 2013 - December 3, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

VOORHEES, NJ

Past

September 17, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

KING OF PRUSSIA, PA

Past

April 4, 1995 - November 2, 2006

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

WILMINGTON, DE

Past

March 11, 1994 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

KING OF PRUSSIA, PA

Past

June 16, 1992 - March 7, 1994

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

December 23, 1991 - July 2, 1992

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

March 14, 1989 - July 22, 1991

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

January 23, 1984 - April 2, 1987

MONARCH SECURITIES, INC.

CRD#: 2809

Past

June 19, 1983 - February 4, 1985

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/1/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 2

Date: 12/11/1981

Non-Member General Securities Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Charles W. Frost

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

ROBERT THOMAS SECURITIES, INC

TRANSAMERICA FINANCIAL ADVISORS, INC.

OSAIC FS, INC.

MONARCH SECURITIES, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/1994

SIE

Date: 10/1/2018

Series 2

Date: 12/11/1981

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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