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Timothy M. Frohberg
CETERA INVESTMENT ADVISERS LLC
HAUPPAUGE, NY 11788
Some features on this profile are disabled
CRD#: 7199083
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Professional summary
Timothy Michael Frohberg, who also goes by Timothy M Frohberg, Timothy Frohberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hauppauge, New York and CETERA WEALTH SERVICES, LLC located in Hauppauge, New York.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Timothy has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy M Frohberg | Timothy Frohberg
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)BOOK SALES POSITION: Author NATURE: Investment Related Publication - "Preparing for Retirement: Building and Distributing Wealth." Book is about the basic building blocks of a retirement porfolio (i.e. what is a bond, what is a stock, etc.), sold on Amazon.com. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2023 ADDRESS: 1300 VETERANS HIGHWAY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: Author- duties include monitoring sales and updating cover when appropriate. 2)TIMOTHY MICHAEL WEALTH MANGEMENT, LLC DBA FINEST RETIREMENT SERVICES AND DBA FINEST BUSINESS SERVICES POSITION: SOLE MEMBER NATURE: I offer investment planning, retirement planning, estate planning, insurance planning and financial planning through this entity. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 10/11/2022 ADDRESS: 1300 VETERANS HIGHWAY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: Create and maintain brand advertising and prospect outreach, qualify potential prospects, meet with clients / build cohesive plans, maintain and manage investments, fill out all applications and process business such as insurance and annuity applications. 3)WORKING WALLET LLC POSITION: Sole Member NATURE: This LLC no longer has operational activities. The former function of the company was to produce books and other educational materials for investors. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/28/2018 ADDRESS: 209 SPRINGMEADOW DRIVE, UNIT J, HOLBROOK NY 11741, United States DESCRIPTION: No current or future duties. 4)CINCINATTI LIFE INSURANCE COMPANY POSITION: LIFE INSURANCE SALES NATURE: SALE OF CINCINNATTI LIFE INSURANCE CONTRACT THROUGH APPROVED BGA CORE GROUP INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/03/2025 ADDRESS: 1300 VETERANS MEMORIAL HWY, SUITE 120, HAUPPAUGE NY 11788, United States DESCRIPTION: SALE OF CINCINNATTI LIFE INSURANCE CONTRACT THROUGH APPROVED BGA CORE GROUP PLEASE CONTACT JASON ALLEN TO VERIFY APPROVAL
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Michael Frohberg'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1300 Veterans Memorial Hwy Suite 310, Hauppauge, NY 11788Office #2: 14 Wall Street 20th Floor, Manhattan, NY, 10005RIA
CRD#: 105644
HAUPPAUGE, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1300 Veterans Memorial Hwy Suite 120, Hauppauge, NY 11788Office #2: 14 Wall Street 20th Floor, Manhattan, NY, 10005BD
CRD#: 13572
Hauppauge, NY
Past
November 14, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Hauppauge, NY
Past
November 14, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Hauppauge, NY
Past
July 16, 2021 - November 17, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HAUPPAUGE, NY
Past
July 16, 2021 - November 17, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
HAUPPAUGE, NY
Past
February 5, 2020 - July 28, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WOODBURY, NY
Past
December 26, 2019 - July 28, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WOODBURY, NY
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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kansas(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/26/2019
General Securities Representative ExaminationGeneral 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hauppauge, NY 11788TRUST BUT VERIFY
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