FC
Frank M. Calabrese
NATIONS FINANCIAL GROUP
Fairfield, NJ 07004
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CRD#: 1324210
FC
Professional summary
Frank M Calabrese, who also goes by Frank Michael Calabrese, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Fairfield, New Jersey.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Frank has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Michael Calabrese
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. KEY CLIENT FINANCIAL ADVISORS; IS INVESTMENT RELATED; 363 ROUTE 46 WEST 3RD FL, FAIRFIELD, NJ 07004; NATURE OF BUSINESS IS DBA TO OFFER INVESTMENT AND ADVISORY SERVICES; POSITION IS PARTNER/OWNER; STARTED 8/1/04; SPEND APPROX ON BUSINESS 160 HOURS; SPEND APPROX 160 HOURS ON BUSINESS DURING TRADING HOURS; DUTIES ARE TO OFFER INVESTMENT AND ADVISORY SERVICES TO CLIENTS 2. KEY CLIENT FINANCIAL ADVISORS; IS NOT INVESTMENT RELATED; 363 ROUTE 46 WEST 3RD FL, FAIRFIELD, NJ 07004; NATURE OF BUSINESS IS TO OFFER DISABILITY INCOME INSURANCE; POSITION IS AGENT; STARTED 10/24/24; SPEND APPROX ON BUSINESS 1 HOUR PER MONTH; SPEND APPROX 1 HOUR ON BUSINESS DURING TRADING HOURS; DUTIES IS AGENT FOR DISABILITY INCOME INSURANCE 3. KEY CLIENT; IS NOT INVESTMENT RELATED; 363 ROUTE 46 WEST 3RD FL, FAIRFIELD, NJ 07004; NATURE OF BUSINESS IS TO LEASE OFFICE SPACE; POSITION IS PARTNER; STARTED IN 2005; SPEND APPROX 0 HOURS A MONTH ON BUSINESS; SPEND APPROX 0 HOURS PER MONTH ON BUSINESS DURING TRADING HOURS; DUTIES: none, handled by other partners.
CRS (Client Relationship Summary) - RIA
Click below to view Frank M Calabrese's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank M Calabrese'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
September 3, 2024 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 363 Route 46 West 3rd Floor, Fairfield, NJ 07004RIA
BD
CRD#: 44181
Fairfield, NJ
Current
September 3, 2024 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 363 Route 46 West 3rd Floor, Fairfield, NJ 07004RIA
BD
CRD#: 44181
Fairfield, NJ
Past
October 12, 2018 - September 4, 2024
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
FAIRFIELD, NJ
Past
October 12, 2018 - September 4, 2024
REALTA EQUITIES, INC.
BD
CRD#: 23769
Fairfield, NJ
Past
July 30, 2004 - October 15, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
FAIRFIELD, NJ
Past
July 30, 2004 - October 15, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
FAIRFIELD, NJ
Past
July 31, 2002 - August 11, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LITTLE FALLS, NJ
Past
March 17, 1995 - August 11, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 30, 1985 - March 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
December 21, 1984 - March 1, 1985
GIBRALTAR SECURITIES CO.
BD
CRD#: 7093
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(9/3/2024)
RR
Connecticut(9/3/2024)
RR
Florida(9/3/2024)
RR
Hawaii(9/3/2024)
RR
Maine(10/3/2024)
RR
Michigan(9/3/2024)
RR
New Jersey(9/3/2024)
IAR
New Jersey(9/4/2024)
RR
New York(9/3/2024)
RR
North Carolina(9/3/2024)
RR
Ohio(9/3/2024)
RR
Pennsylvania(9/3/2024)
RR
South Carolina(9/3/2024)
RR
Tennessee(1/23/2025)
RR
Texas(9/3/2024)
IAR
Texas(9/3/2024)
RR
Vermont(6/6/2025)
RR
Virginia(9/3/2024)
RR
Washington(9/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
