CF
Chad M. Franck
THE PACIFIC CENTER FOR FINANCIAL SERVICES
San Ramon, CA 94583
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CRD#: 4458979
CF
Professional summary
Chad Michael Franck is a registered financial advisor currently at THE PACIFIC CENTER FOR FINANCIAL SERVICES located in San Ramon, California and CETERA WEALTH SERVICES, LLC located in San Ramon, California.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Chad has worked at 2 firms and has passed the Series 66, 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.
1. LIFE, HEALTH, DISABILITY AND LONG TERM CARE SALES AS COMPONENT OF INVESTMENT/ADVISORY BUSINESS;
2. NAME OF OTHER BUSINESS: UMAX MORTGAGE
INVESTMENT RELATED: NO
ADDRESS: SAME AS REGISTERED
NATURE OF BUSINESS: MORTGAGES
START DATE: 11/01/2015
POSITION/TITLE/RELATIONSHIP: MORTGAGE BROKER
APX NUMBER OF HOURS PER WEEK: 15
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: 1ST & 2ND MTGS, FHA LOANS.
3.NAME OF OTHER BUSINESS: DBA PACIFIC CENTER FOR FINANCIAL SERVICES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: ADVISORY BUSINESS
POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE
START DATE: 09/02
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: CONDUCTING PORTFOLIO MANAGEMENT & FINANCIAL PLANNING
CRS (Client Relationship Summary) - RIA
Click below to view Chad Michael Franck'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
May 15, 2006 - Present
THE PACIFIC CENTER FOR FINANCIAL SERVICES
Office #1: 2000 Crow Canyon Place Suite 430, San Ramon, CA 94583RIA
CRD#: 104557
San Ramon, CA
Current
November 7, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2000 Crow Canyon Pl Ste 430, San Ramon, CA 94583BD
CRD#: 13572
San Ramon, CA
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".
TP
THE PACIFIC CENTER FOR FINANCIAL SERVICES
PACIFIC CENTER FOR FINANCIAL SERVICES | THE PACIFIC CENTER FOR FINANCIAL SERVICES
CRD#: 104557 / SEC#: 801-55119
RIA
Registered Investment Advisory firm - (12/16/1997 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
California(5/8/2002)
IAR
California(5/15/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PACIFIC CENTER FOR FINANCIAL SERVICES
PACIFIC CENTER FOR FINANCIAL SERVICES | THE PACIFIC CENTER FOR FINANCIAL SERVICES
CRD#: 104557 / SEC#: 801-55119
RIA
Registered Investment Advisory firm - (12/16/1997 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2000 Crow Canyon Place Suite 430, San Ramon, CA 94583
Mailing Address
2000 Crow Canyon Place Suite 430, San Ramon, CA 94583
Phone number
(925) 838-7700
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,672 |
| AUM (Assets Under Management) | $ 960,563,329 |
Red Flags
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Company Information
THE PACIFIC CENTER FOR FINANCIAL SERVICES
CRD#: 104557San Ramon, CA 94583TRUST BUT VERIFY
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