Frank L. Welch
Professional summary
Frank Leon Welch is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Riverview, Florida and CETERA INVESTMENT SERVICES LLC located in Riverview, Florida.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Frank has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Leon Welch's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6019 Winthrop Commerce Ave, Riverview, FL 33578March 30, 2018 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 6019 Winthrop Commerce Ave, Riverview, FL 33578August 19, 2016 - April 6, 2018
TRUIST ADVISORY SERVICES, INC.
October 18, 2004 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 14, 2004 - April 6, 2018
TRUIST INVESTMENT SERVICES, INC.
August 4, 1998 - April 24, 2000
IFMG SECURITIES, INC.
July 7, 1998 - October 4, 2004
SOUTHTRUST SECURITIES, LLC
July 2, 1998 - October 4, 2004
SOUTHTRUST SECURITIES, LLC
September 8, 1997 - September 29, 1997
ARGUS SECURITIES, INC.
September 14, 1994 - July 30, 1997
AMSOUTH INVESTMENT SERVICES, INC.
April 21, 1994 - August 23, 1994
GLENFED BROKERAGE SERVICES
June 12, 1989 - July 5, 1989
THOMSON MCKINNON SECURITIES INC.
June 9, 1989 - June 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 10, 1988 - June 16, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/9/2020)
(4/27/2018)
(10/27/2021)
(4/11/2025)
(4/24/2018)
(11/3/2023)
(4/10/2018)
(4/23/2018)
(4/30/2018)
(8/7/2018)
(5/3/2018)
(4/12/2023)
(7/27/2022)
(10/29/2021)
(4/19/2021)
(1/5/2021)
(2/13/2023)
(4/24/2018)
(5/1/2018)
(5/2/2018)
(4/7/2023)
(7/9/2018)
(12/10/2019)
(4/22/2022)
(7/2/2018)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
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