FC
Frank J. Calise
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85254
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CRD#: 3022262
FC
Professional summary
Frank J Calise, who also goes by Frank John Calise, Frank Calise, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Frank has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank John Calise | Frank Calise
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) CALISE ENTERPRISES, LLC DBA H&R BLOCK POSITION: Manager NATURE: Tax preparation and accounting tax Planning, Bookkeeping, payroll services, Business creations INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 50 START DATE: 02/10/2011 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Tax Preparer, Bookkeeper, Tax Planner, manage employees & Tax Reduction Specialist I own 3 H&R Block franchises? 2) SERVICING ANNUITIES WITH GLOBAL ATLANTIC OBA POSITION: Financial Advisor NATURE: Allow for the servicing of prior annuity business with Global Atlantic IMO INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/25/2023 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Servicing an existing annuity. I understand that any new products (including investment switches, exchanges, etc.) will be through Avantax products and offerings. 3) CALISE FAMILY TRUST POSITION: Trustee NATURE: Trustee of Family trust INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/10/2019 ADDRESS: 5523 E St John Road, Scottsdale AZ 85254, United States DESCRIPTION: management of brokerage and bank accounts, tax filings for the trust, this is the extent of my duties?? 4) KAFF MARIPOSA, LLC POSITION: Manager NATURE: Own Rental House INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/19/2019 ADDRESS: 5523 E St John Rd, Scottsdale AZ 85254, United States DESCRIPTION: collect rent per form maintenance and repairs 5) KAFF CALISE LLC POSITION: Manager NATURE: I own KAFF Calise LLC which is an entity that holds my interest in both Calise Enterprises and CFR Capital Group (both previously disclosed) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/15/2015 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Owner of the company. The sole purpose of this entity is to hold the ownership interest in both Calise Enterprises and CFR Capital Group. There are no duties tied to this entity, as it just holds my ownership of the two entities 6) CFR CAPITAL GROUP LLC POSITION: Manager NATURE: financial planning, investment planning, estate planning, retirement planning and risk analysis INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 05/09/2006 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Manage Employees and company website manage client accounts financial illustrations Seminars Financial review with existing clients 7) KAFF PARADISE, LLC POSITION: Manager NATURE: Rental House INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/19/2019 ADDRESS: 5523 E Saint John Road, Scottsdale AZ 85254, United States DESCRIPTION: collect rent per form maintenance and repairs
CRS (Client Relationship Summary) - RIA
Click below to view Frank J Calise'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6929 E. Greenway Parkway Suite 150, Scottsdale, AZ 85254RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6929 E. Greenway Parkway Suite 170, Scottsdale, AZ 85254BD
CRD#: 13572
Scottsdale, AZ
Past
June 22, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Scottsdale, AZ
Past
June 20, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Scottsdale, AZ
Past
December 27, 2018 - June 26, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SCOTTSDALE, AZ
Past
December 26, 2018 - June 26, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SCOTTSDALE, AZ
Past
August 9, 2011 - December 31, 2018
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
SCOTTSDALE, AZ
Past
July 19, 2011 - December 31, 2018
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SCOTTSDALE, AZ
Past
August 12, 2009 - July 20, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SCOTTSDALE, AZ
Past
September 26, 2006 - August 18, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SCOTTSDALE, AZ
Past
September 22, 2006 - August 18, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SCOTTSDALE, AZ
Past
April 5, 2005 - December 13, 2006
UNIFIED WEALTH MANAGEMENT, LLC
RIA
CRD#: 133202
PHOENIX, AZ
Past
September 16, 2004 - September 27, 2006
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
PHOENIX, AZ
Past
September 1, 2004 - September 27, 2006
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
PHOENIX, AZ
Past
December 4, 2003 - October 11, 2004
OSAIC WEALTH, INC.
RIA
CRD#: 23131
PHOENIX, AZ
Past
December 3, 2002 - October 11, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
April 11, 2002 - December 2, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
May 24, 2000 - April 23, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 24, 2000 - April 23, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 4, 1998 - July 27, 1999
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
SYOSSET, NY
Past
May 27, 1998 - November 11, 1998
DALTON KENT SECURITIES GROUP, INC.
BD
CRD#: 38813
NEW YORK, NY
Past
March 18, 1998 - April 30, 1998
LEGEND MERCHANT GROUP, INC.
BD
CRD#: 5155
NEW YORK, NY
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
Arizona(9/5/2025)
IAR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Kansas(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Michigan(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nebraska(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Jersey(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
