Frank A. Yeilding

CETERA INVESTMENT ADVISERS LLC

BIRMINGHAM, AL 35223

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CRD#: 4819140

Professional summary

Frank Allen Yeilding II, who also goes by Frank A. Yeilding II, Frank A. Yeilding, Frank Allen Yeilding Ii, Frank Yeilding, Frank Allen Yeilding, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Birmingham, Alabama and CETERA WEALTH SERVICES, LLC located in Birmingham, Alabama.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Frank has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank A. Yeilding Ii | Frank A. Yeilding | Frank Allen Yeilding Ii | Frank Yeilding | Frank Allen Yeilding

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.

FRANK YEILDING (INSURANCE); Investment Related; Residence Address; Insurance; Independent Agent; Start Date 01/2005; 2 hours per month with those 2 hours occurring during trading hours; Sales and service of Group Life and Health insurance products with varied insurance carriers. >> FA LLC (aka YEILDING BASEBALL); Non-Investment Related; Leeds, AL; Youth Sports; Instructor/Owner; Start Date 06/2010; 15-20 hours per month with no hours per month during trading hours; Provide baseball lessons to youth in my community. >> THE THORN TREE, LLC; Non-Investment Related; Residence Address; Sports Equipment; Organizer; Start Date 10/2018; No hours per month; LLC created to use in conjunction with my FA LLC aka Yeilding Baseball activity. No activity, no holdings at this time. >> YEILDING & ASSOCIATES LLC; Non-Investment Related; Mountain Brook, AL 35223; Real Estate; Member; Start Date 10/2022; 1 hour per month with that 1 hour not occurring during trading hours; My duties are to maintain the capital account that pays for the one property purchased - the building that I run my baseball business from.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Allen Yeilding II'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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3309 Eaton Road, Birmingham, AL 35223

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
(2/20/2025)

IAR

Alabama
(2/20/2025)

Florida
(2/20/2025)

Tennessee
(4/22/2025)

Texas
(4/22/2025)

IAR

Texas
(4/22/2025)

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 66

Date: 10/27/2004

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: 10/6/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/8/2008

General Securities Principal 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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Frank A. Yeilding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Allen Yeilding II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

NEW ENGLAND SECURITIES

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2004

SIE

Date: 10/1/2018

Series 7

Date: 10/6/2004

Series 24

Date: 12/8/2008

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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