Craig S. Frolich

CM FIRST CAPITAL

Huntington Beach, CA 92648

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CRD#: 714276

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 ADVISORS 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 8 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

Are you a "fiduciary"?

Yes

Aliases

Craig Stewart Frolick

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.)SCIPIO DBA TIMBEROAKES SHOPPING CENTER; BOARD MEMBER; REAL ESTATE; START DATE:6/1/1997. 2.)CM FIRST CAPITAL CORP; PRESIDENT; REGISTERED INVESTMENT ADVISOR; START DATE:9/8/2003. 3.) Arkad Operating Corp.; Vice President; Real Estate(Rental Property/Passive Investment); start date 05/19/2016; 4 hours per month. 4.) Vista Blue Resorts, LLC; Limited Partner; Real Estate; 10/15/2015; 4 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Stewart Frolich'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®

None

Experience

Current

October 31, 2003 - Present

CM FIRST CAPITAL CORP.

Office #1: 18600 Main Street Suite 220, Huntington Beach, CA 92648

RIA

CRD#: 128617

Huntington Beach, CA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 18600 Main Street Suite 220, Huntington Beach, CA 92648

CRD#: 10299

Huntington Beach, CA

Past

June 13, 2005 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

HUNTINGTON BEACH, CA

Past

October 21, 2003 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

April 14, 1999 - November 3, 2003

HOLLENCREST CAPITAL MANAGEMENT, LLC

CRD#: 46217

NEWPORT BEACH, CA

Past

October 26, 1992 - April 30, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 27, 1982 - November 5, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 22, 1980 - September 27, 1982

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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
(10/26/2022)

Arizona
(9/8/2022)

IAR

California
(10/31/2003)

California
(9/8/2022)

Hawaii
(5/31/2023)

Michigan
(9/8/2022)

Mississippi
(9/8/2022)

Nevada
(8/23/2023)

New Jersey
(9/8/2022)

New York
(9/8/2022)

North Carolina
(9/8/2022)

Tennessee
(9/8/2022)

IAR

Texas
(10/10/2013)

Texas
(9/8/2022)

Virginia
(9/8/2022)

Washington
(9/8/2022)

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: 6/16/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/17/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 2/7/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 11/9/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/3/2009

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/23/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CM FIRST CAPITAL CORP.

CRD#: 128617 / SEC#: 801-62464

RIA

Registered Investment Advisory firm - (4/20/2004 Terminated)

Arizona

Registered Investment Advisory firm - (12/1/2017 Terminated)

California

Registered Investment Advisory firm - (4/20/2004 Approved)

Oregon

Registered Investment Advisory firm - (12/8/2017 Terminated)

Texas

Registered Investment Advisory firm - (10/10/2013 Conditional Restricted)

Washington

Registered Investment Advisory firm - (12/31/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

18600 Main Street Suite 220, Huntington Beach, CA 92648

Mailing Address

P.o. Box 1128, Huntington Beach, CA 92647-1128

Phone number

(714) 465-2207

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 13,154,445

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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Advisor Monitoring

Firm Stability Insights

Craig S. Frolich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Stewart Frolich's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

HOLLENCREST CAPITAL MANAGEMENT, LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/1992

Series 63

Date: 7/7/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/17/1984

Series 15

Date: 2/7/1984

Series 5

Date: 11/9/1981

Series 7

Date: 8/16/1980

Series 4

Date: 11/3/2009

Series 24

Date: 9/23/1999

FINRA

Current Firm

CM FIRST CAPITAL CORP.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CM FIRST CAPITAL CORP.

TRUST BUT VERIFY

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