Frank P. Zocco

CETERA INVESTMENT ADVISERS LLC

GLASTONBURY, CT 06033

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CRD#: 2598100

Professional summary

Frank Paul Zocco JR, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Glastonbury, Connecticut and CETERA WEALTH SERVICES, LLC located in Glastonbury, Connecticut.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Frank has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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; 95 GLASTONBURY BLVD STE 210; GLASTONBURY; CT; 6033; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/22/2018; 160; 160; SALE OF FIXED INSURANCE PRODUCTS; 2. NAME OF ENTITY:JACOB FINANCIAL PARTNERS; Yes; 95 GLASTONBURY BLVD STE 210; GLASTONBURY; CT; 6033; FINANCIAL SERVICES/DBA; FINANCIAL ADVISER; 2/22/2018; 160; 130; SALE AND SERVICE INSURANCE,SEUCRITIES AND INVESTMENT PRODUCTS; 3. NAME OF OTHER BUSINESS: SMART 401(K) STRATEGIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING DBA: START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TO MARKET 401K BUSINESS; 4. NAME OF OTHER BUSINESS: FRANK THE 401K GUY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING DBA: START DATE: 8/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: TO MARKET 401K BUSINESS; 5. NAME OF OTHER BUSINESS: DOUGH DADDY COOKS; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: BLOG; START DATE: 8/2025; POSITION/TITLE/RELATIONSHIP: FOOD BLOGGER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROVIDE FOOD REVIEWS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Paul Zocco JR'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 95 Glastonbury Blvd Ste 210, Glastonbury, CT 06033

RIA

CRD#: 105644

GLASTONBURY, CT

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 95 Glastonbury Blvd Ste 210, Glastonbury, CT 06033

CRD#: 13572

Glastonbury, CT

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

GLASTONBURY, CT

Past

February 22, 2018 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

GLASTONBURY, CT

Past

February 20, 2018 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

GLASTONBURY, CT

Past

May 4, 2015 - March 9, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

MIDDLETOWN, CT

Past

May 4, 2015 - March 9, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

MIDDLETOWN, CT

Past

January 4, 2012 - May 15, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

MIDDLETOWN, CT

Past

September 1, 2010 - December 31, 2011

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

WEST HARTFORD, CT

Past

January 2, 2009 - October 8, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

MIDDLETOWN, CT

Past

January 2, 2009 - May 15, 2015

LPL FINANCIAL LLC

CRD#: 6413

MIDDLETOWN, CT

Past

September 22, 2005 - December 31, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

NEWINGTON, CT

Past

September 19, 2005 - June 8, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 19, 2005 - December 31, 2008

OSAIC FA, INC.

CRD#: 3978

NEWINGTON, CT

Past

October 28, 2004 - September 19, 2005

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

CROMWELL, CT

Past

October 27, 2004 - September 19, 2005

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

April 16, 2004 - October 12, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

WEST HARTFORD, CT

Past

April 16, 2004 - October 12, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

June 2, 2003 - April 2, 2004

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

NEW LONDON, CT

Past

August 17, 2001 - April 2, 2004

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

October 21, 1998 - September 21, 2000

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

HARTFORD, CT

Past

May 9, 1997 - July 24, 2001

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

April 27, 1995 - April 24, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 27, 1995 - April 24, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

California
(6/9/2021)

Connecticut
(6/9/2021)

IAR

Connecticut
(6/29/2023)

Delaware
(6/28/2021)

Florida
(6/10/2021)

Georgia
(6/9/2021)

Louisiana
(5/6/2022)

Maine
(7/30/2024)

Massachusetts
(6/9/2021)

New Hampshire
(6/9/2021)

New York
(6/9/2021)

North Carolina
(10/22/2024)

Oregon
(6/9/2021)

Pennsylvania
(6/9/2021)

Rhode Island
(6/9/2021)

South Carolina
(6/9/2021)

Vermont
(6/9/2021)

Washington
(4/23/2024)

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: 5/30/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/19/2001

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
11/18/2022	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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Advisor Monitoring

Firm Stability Insights

Frank P. Zocco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Paul Zocco JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

AETNA FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/2003

Series 63

Date: 6/1/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/26/1995

Series 24

Date: 6/19/2001

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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