Frances K. Wright

CETERA INVESTMENT ADVISERS LLC

HONOLULU, HI 96813

Some features on this profile are disabled

CRD#: 2608171

Professional summary

Frances Kaimihau Wright, who also goes by Frances Kaimihau Joy, Frances K Wright, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honolulu, Hawaii and CETERA WEALTH SERVICES, LLC located in Honolulu, Hawaii.

Frances is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Frances has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frances Kaimihau Joy | Frances K Wright

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) - - PERRY FINANCIAL; INVESTMENT RELATED; 13405 FOLSOM BLVD #400, FOLSOM, CA 95630; INSURANCE SALES; AGENT; BEGAN JANUARY 2012; 10 HOURS PER MONTH WITH NONE DURING TRADING HOURS; SELLS LIFE INSURANCE. (2) - - HAWAII FINANCIAL ADVISORS, INC; INVESTMENT RELATED; 745 FORT STREET SUITE 1614, HONOLULU, HI 96813; FINANCIAL SERVICES; FINANCIAL ADVISOR; 8/2015; 160 HOURS MONTHLY DURING TRADING; PROVIDE FINANCIAL PLANNING SERVICES TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frances Kaimihau Wright'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1100 Alakea St Ste 2400, Honolulu, HI 96813

RIA

CRD#: 105644

HONOLULU, HI

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 745 Fort Street 1614, Honolulu, HI 96813

CRD#: 13572

Honolulu, HI

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

September 9, 2016 - November 2, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

HONOLULU, HI

Past

September 9, 2016 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

Honolulu, HI

Past

September 1, 2016 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

HONOLULU, HI

Past

May 6, 2013 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

HONOLULU, HI

Past

May 6, 2013 - November 2, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

HONOLULU, HI

Past

December 20, 2012 - May 17, 2013

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

HONOLULU, HI

Past

May 10, 2010 - December 31, 2010

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

HONOLULU, HI

Past

April 12, 2010 - April 12, 2010

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

HONOLULU, HI

Past

April 12, 2010 - May 17, 2013

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

HONOLULU, HI

Past

August 18, 2009 - April 13, 2010

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HONOLULU, HI

Past

August 5, 2009 - August 6, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HONOLULU, HI

Past

August 5, 2009 - April 13, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

HONOLULU, HI

Past

June 20, 2007 - July 31, 2009

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

HONOLULU, HI

Past

February 7, 2006 - July 31, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HONOLULU, HI

Past

October 12, 2005 - January 19, 2006

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HONOLULU, HI

Past

September 20, 2005 - January 19, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 13, 2004 - August 31, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN JOSE, CA

Past

September 13, 2004 - August 31, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

August 17, 2004 - August 27, 2004

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

MOUNTAIN VIEW , CA

Past

February 26, 2003 - August 27, 2004

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

June 29, 1999 - July 18, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 29, 1999 - July 9, 1999

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

May 12, 1995 - April 6, 1999

MUTUAL SECURITIES, INC.

CRD#: 13092

CAMARILLO, CA

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

Alaska
(11/25/2022)

California
(9/20/2019)

Florida
(3/13/2020)

Hawaii
(9/20/2019)

IAR

Hawaii
(6/29/2023)

Kentucky
(9/20/2019)

Oregon
(9/20/2019)

Wisconsin
(4/28/2020)

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: 7/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1995

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: 11/17/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/6/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Racquel Nakata

EQUITABLE ADVISORS, LLC

IAR

Honolulu, HI

Bradford Tom

INDEPENDENT FINANCIAL GROUP, LLC

IAR

Honolulu, HI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frances K. Wright

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frances Kaimihau Wright's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

BANCWEST INVESTMENT SERVICES, INC.

MUTUAL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/1999

Series 63

Date: 6/3/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1997

Series 6

Date: 5/6/1995

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

Similar Advisors