LF
Leroy L. Franck
CETERA INVESTMENT ADVISERS LLC
KNOXVILLE, IA 50138
Some features on this profile are disabled
CRD#: 2354310
LF
Professional summary
Leroy Leslie Franck III, who also goes by Lee Franck III, Leroy Leslie III Franck, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Knoxville, Iowa and CETERA FINANCIAL SPECIALISTS LLC located in Knoxville, Iowa.
Leroy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Leroy has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Franck Iii | Leroy Leslie Iii Franck
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) LL FRANCK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 110 S 2ND ST, KNOXVILLE, IA, INCOME TAX PREP AND ACCOUNTING SERVICES, OWNER, 40H/WEEK, SINCE 09/2001 2) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 107 SOUTH MAIN, CHARLTON, IA, OWNER, SINCE 12/1999, 1H/WEEK 3) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 107-109 NORTHWEST 2ND ST, LEON, IA, OWNER, SINCE 12/1999, 1H/WEEK 4) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 110 S 2ND ST, KNOXVILLE, IA, OWNER, SINCE 12/1999, 1H/WEEK 5) PROPERTY OWNERSHIP, LP FRANK & CO DBA H&R BLOCK, NOT INVESTMENT RELATED, 120 BENTON AVE EAST, ALBIA, IA, OWNER, SINCE 12/1999, 1H/WEEK 6) NAME OF OTHER BUSINESS: L.L. FRANCK & CO DBA H&R BLOCK; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OFFICE BUILDING; START DATE: 08/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OWNER OF OFFICE BUILDING 101 WASHINGTON ST, ST W, WASHINGTON, IA, 52353; 7) NAME OF OTHER BUSINESS: NOTARY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 1/2022; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARY SERVICES PROVIDED AS NEEDED;
CRS (Client Relationship Summary) - RIA
Click below to view Leroy Leslie Franck III'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
January 3, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 110 S 2nd St, Knoxville, IA 50138RIA
CRD#: 105644
KNOXVILLE, IA
Current
October 4, 2018 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 110 S 2nd St, Knoxville, IA 50138BD
CRD#: 10358
Knoxville, IA
Past
October 5, 2009 - October 10, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
October 24, 2002 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
January 17, 1997 - December 13, 2002
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
MINNEAPOLIS, MN
Past
May 19, 1993 - January 1, 1997
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
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
Florida(10/5/2018)
RR
Illinois(10/4/2018)
RR
Iowa(10/10/2018)
IAR
Iowa(1/3/2019)
RR
Missouri(10/10/2018)
RR
North Carolina(8/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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)
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.
