DF
David A. Frank
CETERA INVESTMENT ADVISERS LLC
WESTLAKE, OH 44145
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CRD#: 3026799
DF
Professional summary
David Alan Frank is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westlake, Ohio and CETERA INVESTMENT SERVICES LLC located in Westlake, Ohio.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Frank'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 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2035 Crocker Road, Westlake, OH 44145RIA
CRD#: 105644
WESTLAKE, OH
Current
December 12, 2008 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2035 Crocker Road, Westlake, OH 44145Office #2: 7595 Crile Road, Concord, OH 44077Office #3: 14047 Pearl Road, Strongsville, OH 44136Office #4: 36839 Detroit Road, Avon, OH 44011Office #5: 32812 Walker Road, Avon Lake, OH 44012Office #6: 24441 Detroit Road, Westlake, OH 44145Office #7: 3383 Center Road, Brunswick, OH 44212Office #8: 6160 Royalton Road, North Royalton, OH 44133Office #9: 33701 Center Ridge Road, North Ridgeville, OH 44039Office #10: 89 First Street Ste 204, Hudson, OH 44236BD
CRD#: 15340
Westlake, OH
Past
December 15, 2008 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
NORTH RIDGEVILLE, OH
Past
January 24, 2002 - December 18, 2008
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NORTH RIDGEVILLE, OH
Past
September 18, 2001 - December 18, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NORTH RIDGEVILLE, OH
Past
April 29, 1998 - August 31, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(1/4/2010)
RR
California(12/12/2008)
RR
Colorado(12/12/2008)
RR
Florida(12/12/2008)
RR
Georgia(10/6/2017)
RR
Kansas(2/22/2021)
RR
Kentucky(10/17/2012)
RR
Michigan(12/12/2008)
RR
Missouri(6/22/2009)
RR
New Jersey(2/17/2021)
RR
North Carolina(9/10/2018)
RR
Ohio(12/12/2008)
IAR
Ohio(1/21/2014)
RR
Pennsylvania(10/28/2009)
RR
Tennessee(9/6/2013)
RR
Texas(2/1/2010)
IAR
Texas(4/22/2022)
RR
Virginia(12/12/2008)
RR
Washington(4/29/2020)
RR
Wisconsin(4/7/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
