Frank D. Mezzanotte

CETERA INVESTMENT ADVISERS LLC

HAUPPAUGE, NY 11788

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CRD#: 3078411

Professional summary

Frank Daniel Mezzanotte JR, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hauppauge, New York and CETERA INVESTMENT SERVICES LLC located in Hauppauge, New York.

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 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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.

1. FDM EQUITIES, FOR TAX PURPOSES - PERSONAL TRADES, 100% OWNER, 0-2/HRS/WK. 2. FDM WEALTH MANAGEMENT, DBA FOR CETERA BUSINESS, 100% OWNER. 3. OWNER OF TWO RENTAL PROPERTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Daniel Mezzanotte 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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

February 18, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 888 Veterans Memorial Highway Suite 210, Hauppauge, NY 11788

RIA

CRD#: 105644

HAUPPAUGE, NY

Current

February 18, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 888 Veterans Memorial Highway Suite 220, Hauppauge, NY 11788

CRD#: 15340

HAUPPAUGE, NY

Past

May 3, 2018 - November 15, 2019

FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC

CRD#: 170845

Jericho, NY

Past

September 2, 2015 - February 21, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

August 16, 2012 - February 21, 2025

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

August 15, 2008 - September 5, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MASSAPEQUA PARK, NY

Past

October 2, 2006 - September 2, 2008

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

PORT JEFFERSON, NY

Past

January 3, 2005 - October 2, 2006

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MASSAPEQUA, NY

Past

January 2, 2004 - January 3, 2005

GREENPOINT SECURITIES LLC

CRD#: 127042

LAKE SUCCESS, NY

Past

March 9, 2001 - January 2, 2004

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

August 11, 1998 - December 22, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

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

Arizona
(2/26/2025)

California
(2/27/2025)

Connecticut
(2/18/2025)

Florida
(2/19/2025)

Georgia
(2/20/2025)

New Hampshire
(2/20/2025)

New Jersey
(2/20/2025)

New York
(2/18/2025)

IAR

New York
(2/18/2025)

North Carolina
(2/27/2025)

Ohio
(2/19/2025)

Oklahoma
(2/24/2025)

Pennsylvania
(2/19/2025)

Texas
(2/18/2025)

IAR

Texas
(2/18/2025)

Virginia
(2/19/2025)

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: 8/27/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/1/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/10/1998

General Securities 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)

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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 D. Mezzanotte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Daniel Mezzanotte JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

ESSEX NATIONAL SECURITIES, LLC

CAPITAL ONE INVESTMENT SERVICES LLC

GREENPOINT SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/1998

Series 63

Date: 8/25/1998

SIE

Date: 10/1/2018

Series 31

Date: 9/1/1998

Series 7

Date: 8/10/1998

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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