CF

Celeste A. Frause

Some features on this profile are disabled
CRD#: 213262
CF

Professional summary


Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Celeste Agnes Frause, who also goes by Penny A. Frause, Penny Frause, Celeste Agnes Preston, Penny A. Preston, was a registered financial professional .

Celeste is a previously registered financial professional and started their career in finance in 1972. Celeste had worked at 10 firms and has passed the Series 65, Series 63, PC, Series 7 and Series 1 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Penny A. Frause | Penny Frause | Celeste Agnes Preston | Penny A. Preston

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.

CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

August 9, 2011 - December 31, 2017

PNF MANAGEMENT LLC

RIA
CRD#: 158027
ARVADA, CO
Past

January 2, 2009 - April 30, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
DENVER, CO
Past

August 11, 2003 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
DENVER, CO
Past

August 8, 2003 - April 30, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
DENVER, CO
Past

January 1, 1999 - August 20, 2003

PIPER SANDLER & CO.

RIA
CRD#: 665
LITTLETON, CO
Past

May 27, 1994 - August 20, 2003

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

July 14, 1980 - June 1, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 22, 1977 - August 14, 1980

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

November 17, 1976 - November 22, 1977

SHEARSON HAYDEN STONE INC.

BD
CRD#: 7295
Past

September 23, 1975 - November 17, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774
Past

March 20, 1975 - November 9, 1975

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

October 4, 1972 - February 24, 1975

WEIS SECURITIES, INC.

BD
CRD#: 880

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
PC
Date: 6/7/1988
AMEX Put and Call Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/27/1972
Registered Representative Examination

Current Firm


PM
PNF MANAGEMENT LLC
PNF MANAGEMENT LLC | PNF MANAGEMENT, LLC

CRD#: 158027 / SEC#:

PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
Arvada, CO
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

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.

Company Information


PNF MANAGEMENT LLC

CRD#: 158027

TRUST BUT VERIFY

Monitor Celeste Frause

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.