Frank R. Sites

CETERA INVESTMENT ADVISERS

Santa Rosa, CA 95409

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CRD#: 425532

Professional summary

Frank Ronald Sites SR, who also goes by Frank Ronald Sites, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Santa Rosa, California and CETERA ADVISORS LLC located in Santa Rosa, California.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Frank has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Ronald Sites

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Ronald Sites SR'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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 5755 Mountain View Drive, Suite 209, Santa Rosa, CA 95409

RIA

CRD#: 105644

Santa Rosa, CA

Current

December 9, 2014 - Present

CETERA ADVISORS LLC

Office #1: 5755 Mtn. Hawk Drive #209, Santa Rosa, CA 95409

CRD#: 10299

Santa Rosa, CA

Past

December 9, 2014 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

September 8, 2009 - December 19, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SANTA ROSA, CA

Past

September 8, 2009 - December 19, 2014

LPL FINANCIAL LLC

CRD#: 6413

SANTA ROSA, CA

Past

May 10, 2006 - September 8, 2009

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

SANTA ROSA, CA

Past

January 29, 2002 - October 13, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

SANTA ROSA, CA

Past

February 16, 2001 - September 8, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

SANTA ROSA, CA

Past

November 30, 1995 - February 20, 2001

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

November 19, 1989 - December 22, 1995

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 5, 1986 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 26, 1984 - December 6, 1986

BENEFIT PLAN SECURITIES, INC.

CRD#: 6785

Past

October 13, 1980 - November 21, 1983

PLANNED INVESTMENTS INC.

CRD#: 5066

Past

March 14, 1972 - July 6, 1981

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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
(12/9/2014)

California
(12/9/2014)

IAR

California
(3/21/2024)

Hawaii
(12/10/2014)

Idaho
(1/12/2015)

Nevada
(1/2/2020)

Oregon
(12/9/2014)

Texas
(1/14/2015)

IAR

Texas
(3/21/2024)

Washington
(1/7/2015)

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: 10/12/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/6/1972

Registered 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)

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)

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

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 R. Sites

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Ronald Sites SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ASSOCIATED SECURITIES CORP.

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

MUTUAL SERVICE CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

BENEFIT PLAN SECURITIES, INC.

PLANNED INVESTMENTS INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2001

Series 63

Date: 11/11/1998

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/6/1972

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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