FE
Frank R. Emery
CETERA INVESTMENT ADVISERS LLC
Spotsylvania, VA
Some features on this profile are disabled
CRD#: 1429821
FE
Professional summary
Frank Richard Emery is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Spotsylvania, Virginia and CETERA WEALTH SERVICES, LLC located in Spotsylvania, Virginia.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Frank has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 62 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 ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 10306 ROLLING RIDGE DR; SPOTSYVANIA; VA; 22553; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/8/2016; 160; 160; SALES OF FIXED INSURANCE PRODUCTS. 2. NAME OF ENTITY:EMERY WEALTH MANAGEMENT LLC; Yes; 10306 ROLLING RIDGE DR; SPOTSYVANIA; VA; 22553; FINANCIAL SERVICES/DBA; OWNER; 1/2/2017; 160; 160; DBA FOR SALE OF FIXED AND SECURITIES PRODUCTS 3. NAME OF OTHER BUSINESS: EDUCATION FUNDING FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 1970 WEST OLD MAGEE TRAIL, ORO VALLEY, AZ, 85704; NATURE OF BUSINESS: QUALIFY HIGH SCHOOL CHILDREN TO APPLY FOR COLLEGE GRANTS START DATE: 03/2022 POSITION/TITLE/RELATIONSHIP: EDUCATION FUNDING FOUNDATION REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: MEET WITH PARENTS AND STUDENTS, COMPLETE PAPERWORK, AND FORWARD TO HOME OFFICE TO MAKE CONTACT;
CRS (Client Relationship Summary) - RIA
Click below to view Frank Richard Emery'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
RIA
CRD#: 105644
Spotsylvania, VA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Spotsylvania, VA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 8, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Spotsylvania, VA
Past
April 8, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Spotsylvania, VA
Past
December 3, 2014 - June 8, 2016
OSAIC SERVICES, INC.
RIA
CRD#: 133763
SPOTSYLVANIA, VA
Past
November 19, 2014 - April 12, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
SPOTSYLVANIA, VA
Past
January 5, 2006 - November 21, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SPOTSYLVANIA, VA
Past
January 1, 2004 - November 21, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SPOTSYLVANIA, VA
Past
May 12, 2003 - December 31, 2005
EMERY FINANCIAL SERVICES INC.
RIA
CRD#: 124546
POTOMAC FALLS, VA
Past
August 27, 1998 - January 1, 2004
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
February 15, 1994 - September 2, 1998
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
October 29, 1985 - April 21, 1987
MOUNT VERNON EQUITY SALES, INC.
BD
CRD#: 10567
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
Colorado(6/9/2021)
RR
Delaware(5/22/2023)
RR
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(10/3/2024)
RR
Maryland(6/9/2021)
RR
Massachusetts(1/3/2023)
RR
Montana(12/8/2021)
RR
North Carolina(11/4/2024)
RR
South Carolina(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Virginia(6/9/2021)
IAR
Virginia(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/14/2001
Corporate Securities Limited Representative ExaminationGeneral 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
