Kathryn A. Frank

CETERA INVESTMENT ADVISERS LLC

MONTGOMERY, TX

Some features on this profile are disabled

CRD#: 4738039

Professional summary

Kathryn A Frank, who also goes by Kate A Frank, Kathryn Anne Frank, Kate Frank, Kathryn Frank, Kate Anne Krahn, Kathryn Anne Krahn, Kate Krahn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Montgomery, Texas and CETERA WEALTH SERVICES, LLC located in Magnolia, Texas.

Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kathryn has worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 Kathryn A Frank'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

August 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 26422 Hardin Store Road, Magnolia, TX 77354

RIA

CRD#: 105644

MONTGOMERY, TX

Current

August 21, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 26422 Hardin Store Road, Magnolia, TX 77354

CRD#: 13572

Magnolia, TX

Past

July 3, 2018 - August 22, 2024

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

HOUSTON, TX

Past

July 3, 2018 - August 22, 2024

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

February 16, 2017 - May 15, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

HOUSTON, TX

Past

January 17, 2017 - May 15, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

HOUSTON, TX

Past

June 4, 2015 - December 31, 2016

EQUITY SERVICES, INC.

RIA

CRD#: 265

HOUSTON, TX

Past

March 11, 2015 - December 31, 2016

EQUITY SERVICES, INC.

CRD#: 265

HOUSTON, TX

Past

July 30, 2013 - March 17, 2015

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HOUSTON, TX

Past

May 19, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

PENSACOLA, FL

Past

May 19, 2006 - December 19, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HOUSTON, TX

Past

March 11, 2004 - June 15, 2005

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

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".

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

Alabama
(10/29/2024)

Alaska
(9/6/2024)

California
(8/21/2024)

Colorado
(12/2/2024)

Florida
(8/22/2024)

Indiana
(8/21/2024)

Louisiana
(3/13/2025)

Michigan
(8/23/2024)

Minnesota
(11/27/2024)

Montana
(2/4/2026)

New Jersey
(8/21/2024)

New York
(8/22/2024)

Oklahoma
(10/21/2024)

South Carolina
(10/22/2024)

Texas
(8/21/2024)

IAR

Texas
(8/21/2024)

Virginia
(8/22/2024)

Wisconsin
(8/22/2024)

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: 5/10/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/24/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2004

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathryn A. Frank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn A Frank's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2015

Series 63

Date: 8/24/2013

Series 66

Date: 3/24/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/10/2004

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

Similar Advisors