Francis X. Dwyer

CETERA INVESTMENT ADVISERS LLC

Marlboro, NY

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CRD#: 1467125

Professional summary

Francis Xavier Dwyer, who also goes by Frank Dwyer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marlboro, New York and CETERA WEALTH SERVICES, LLC located in Washingtonvle , New York.

Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Francis has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 25, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Dwyer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Xavier Dwyer's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 19, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 5 Fairlawn Drive, Washingtonvle , NY 10992Office #3: 80 Business Park Drive Suite 207, Armonk, NY 10504

RIA

CRD#: 105644

Marlboro, NY

Current

December 19, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 5 Fairlawn Drive, Washingtonvle , NY 10992

CRD#: 13572

Washingtonvle , NY

Past

August 12, 2021 - December 11, 2024

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Poughkeepsie, NY

Past

November 2, 2016 - December 11, 2024

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Poughkeepsie, NY

Past

September 17, 2015 - October 28, 2016

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

CRD#: 103340

NEWBURGH, NY

Past

May 7, 2012 - September 3, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MONTGOMERY, NY

Past

May 24, 2006 - May 2, 2012

KEY INVESTMENT SERVICES LLC

CRD#: 136300

CHESTER, NY

Past

June 24, 2004 - May 22, 2006

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

May 14, 1999 - June 16, 2004

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

December 2, 1997 - May 14, 1999

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

November 15, 1996 - December 11, 1997

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

December 7, 1993 - April 26, 1995

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

June 3, 1992 - December 14, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 20, 1990 - October 9, 1990

LIT AMERICA, INC.

CRD#: 22381

CHICAGO, IL

Past

May 20, 1986 - January 30, 1989

INVESTACORP, INC.

CRD#: 7684

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(12/19/2025)

New York
(12/19/2025)

IAR

New York
(12/19/2025)

Virginia
(12/19/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/24/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/22/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 11/10/1999

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2006

General Securities Principal Examination

SRO Registrations

FINRA

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

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

Francis X. Dwyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francis Xavier Dwyer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

NEW HORIZONS ASSET MANAGEMENT GROUP, LLC

CETERA INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

MOORS & CABOT, INC.

KEYBANC CAPITAL MARKETS INC.

KEY INVESTMENTS INC.

RUMSON CAPITAL, LLC

KEY INVESTMENTS INC.

PRUDENTIAL EQUITY GROUP, LLC

LIT AMERICA, INC.

INVESTACORP, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/1992

Series 63

Date: 6/9/1992

SIE

Date: 10/1/2018

Series 55

Date: 12/22/2005

Series 25

Date: 11/10/1999

Series 7

Date: 5/17/1986

Series 24

Date: 5/2/2006

FINRA

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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