FC
Frank E. Carlini
CETERA INVESTMENT ADVISERS LLC
PITTSBURGH, PA 15222
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CRD#: 1224955
FC
Professional summary
Frank Eugene Carlini JR is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pittsburgh, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Pittsburgh, Pennsylvania.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Frank has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 26 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.
NAME OF ENTITY:Frank and Susan Carlini; Yes; 4805 SCOIOTA STREET PITTSBURGH PA 15224; PITTSBURGH; PA; 15224; rental properties; owner; 1/1/1994; 8; 8; receive rental income and maintain properties|NAME OF ENTITY: independent insurance agent; Yes; 4918 CYPRESS ST; PITTSBURGH; PA; 1522; fixed insurance sales; independent insurance agent; 6/5/2009; 80; 80; sales of fixed insaurance products|NAME OF ENTITY:FRANK CARLINI-NOTARY; No; 4918 CYPRESS ST; PITTSBURGH; PA; 15224; NOTARY REPUBLIC; NOTARY; 9/29/2004; 1; 0; NOTARIZE DOCUMENTS AS NEEDED.|
CRS (Client Relationship Summary) - RIA
Click below to view Frank Eugene Carlini JR'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 603 Stanwix St Ste 1200, Pittsburgh, PA 15222RIA
CRD#: 105644
PITTSBURGH, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PITTSBURGH, PA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 31, 2008 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
PITTSBURGH, PA
Past
January 1, 2004 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
PITTSBURGH, PA
Past
December 4, 1996 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
December 21, 1983 - November 15, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 21, 1983 - November 15, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
California(6/9/2021)
RR
Florida(6/10/2021)
RR
Illinois(6/9/2021)
RR
Maryland(1/2/2025)
RR
Massachusetts(6/9/2021)
RR
Michigan(6/9/2021)
RR
Nevada(6/9/2021)
RR
New Jersey(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(6/9/2021)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 12/19/2008
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory 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.
