Craig S. Frolich
Professional summary
Craig Stewart Frolich, who also goes by Craig Stewart Frolick, is a registered financial advisor currently at CM FIRST CAPITAL CORP. located in Huntington Beach, California and CETERA INVESTMENT ADVISERS LLC located in Huntington Beach, California.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Craig has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 15, Series 5, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Craig Stewart Frolich's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2003 - Present
CM FIRST CAPITAL CORP.
Office #1: 18600 Main Street Suite 220, Huntington Beach, CA 92648March 13, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 18600 Main Street Suite 220, Huntington Beach, CA 92648September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 18600 Main Street Suite 220, Huntington Beach, CA 92648June 13, 2005 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 21, 2003 - June 13, 2005
ROUND HILL SECURITIES, INC.
April 14, 1999 - November 3, 2003
HOLLENCREST CAPITAL MANAGEMENT, LLC
October 26, 1992 - April 30, 1999
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1982 - November 5, 1992
LEHMAN BROTHERS INC.
August 22, 1980 - September 27, 1982
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/26/2022)
(9/8/2022)
(10/31/2003)
(9/8/2022)
(5/31/2023)
(9/8/2022)
(9/8/2022)
(8/23/2023)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(10/10/2013)
(9/8/2022)
(3/13/2026)
(9/8/2022)
(9/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 2/7/1984
Foreign Currency Options ExaminationSeries 5
Date: 11/9/1981
Interest Rate Options ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
