FM
Frank Mckinney
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX 77046
Some features on this profile are disabled
CRD#: 4174781
FM
Professional summary
Frank Mckinney III is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in Houston, Texas.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frank has worked at 10 firms and has passed the Series 66, 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/2015 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 2. NAME OF OTHER BUSINESS: DBA MCKINNEY CAPITAL MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2008 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: MCM TAX; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX RETURN PREPARATION; START DATE: 12/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: PROVIDE TAX PREPARATION SERVICES; 4. NAME OF OTHER BUSINESS: FIX MY 401K; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNERS; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: FIX MY 403B; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2025; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNERS; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Frank Mckinney III'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8 Green Way Plaza Ste 1350, Houston, TX 77046RIA
CRD#: 105644
HOUSTON, TX
Current
November 5, 2015 - Present
CETERA ADVISORS LLC
Office #1: 8 Green Way Plaza Ste 1350, Houston, TX 77046BD
CRD#: 10299
Houston, TX
Past
November 9, 2015 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
DENVER, CO
Past
December 3, 2008 - November 10, 2015
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
HOUSTON, TX
Past
December 3, 2008 - November 10, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HOUSTON, TX
Past
January 2, 2008 - December 1, 2008
AW SECURITIES
BD
CRD#: 103747
HOUSTON, TX
Past
June 13, 2006 - December 1, 2008
ALLWORTH FINANCIAL, L.P.
RIA
CRD#: 111167
HOUSTON, TX
Past
June 8, 2006 - December 31, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HOUSTON, TX
Past
July 1, 2004 - March 14, 2006
TD AMERITRADE, INC.
RIA
CRD#: 7870
HOUSTON, TX
Past
July 1, 2004 - March 14, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
August 2, 2002 - June 2, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
HOUSTON, TX
Past
August 2, 2002 - June 2, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 20, 2000 - August 23, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HOUSTON, TX
Past
June 20, 2000 - August 23, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 20, 2000 - August 23, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
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
Alabama(4/20/2021)
RR
Arizona(5/3/2022)
RR
Arkansas(1/3/2023)
RR
California(11/5/2015)
RR
Florida(11/10/2015)
RR
Georgia(11/9/2015)
RR
Idaho(7/29/2025)
RR
Iowa(11/15/2024)
RR
Louisiana(8/3/2020)
RR
Michigan(12/1/2015)
RR
Missouri(3/9/2021)
RR
New Mexico(11/9/2015)
RR
New York(11/9/2015)
RR
North Carolina(7/27/2016)
RR
Oklahoma(2/25/2025)
RR
Texas(11/9/2015)
IAR
Texas(3/21/2024)
RR
Virginia(7/12/2024)
Exams
State Security Law Exam
General Industry/Product 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
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.
