DF
Dennis C. Frank
CETERA INVESTMENT ADVISERS LLC
LOUISVILLE, KY 40223
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CRD#: 6154421
DF
Professional summary
Dennis Carlyle Frank is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Louisville, Kentucky and CETERA WEALTH SERVICES, LLC located in Louisville, Kentucky.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Dennis has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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: 12/2019 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, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: DENNIS FRANK FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 2009 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5-10 APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 BRIEF DESCRIPTION OF DUTIES: OWNER - AGENT (3) NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2019 POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: PARSONS INSURANCE SERVICES LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE SALES ; START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL REPRESENTATIVE ; APX NUMBER OF HOURS PER WEEK: 15-20 APX NUMBER OF HOURS DURING TRADING HOURS: 15-20 BRIEF DESCRIPTION OF DUTIES: SALES AND MARKETING OF INSURANCE PRODUCTS ; (5) NAME OF OTHER BUSINESS: ESTES INSURANCE AGENCY ; INVESTMENT RELATED: NO ; ADDRESS: 1115 JAMESTOWN ST, COLUMBIA, KY 48728 ; NATURE OF BUSINESS: LIFE AND INSURANCE SALES ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; APX NUMBER OF HOURS PER WEEK: 5-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 ; BRIEF DESCRIPTION OF DUTIES: LIFE AND HEALTH INSURANCE SALES ;
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Carlyle Frank'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10503 Timberwood Circle Suite 205, Louisville, KY 40223RIA
CRD#: 105644
LOUISVILLE, KY
Current
January 3, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10300 Brookridge Village Blvd Suite 103, Louisville, KY 40291BD
CRD#: 13572
Louisville, KY
Past
January 3, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 31, 2016 - December 31, 2019
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
LOUISVILLE, KY
Past
February 14, 2013 - December 31, 2019
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
LOUISVILLE, KY
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
Florida(8/2/2021)
RR
Indiana(1/3/2020)
RR
Kentucky(1/3/2020)
IAR
Kentucky(6/29/2023)
RR
Texas(1/3/2020)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Louisville, KY 40223TRUST BUT VERIFY
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