Frank L. Arnold

CETERA INVESTMENT ADVISERS LLC

CONYERS, GA 30094

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CRD#: 812185

Professional summary

Frank Lee Arnold Sr, who also goes by Frank Lee Arnold Sr, Frank Lee Arnold, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Conyers, Georgia and CETERA WEALTH SERVICES, LLC located in Conyers, Georgia.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Frank has worked at 15 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Lee Arnold Sr | Frank Lee Arnold

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.

(dba) ICI FINANCIAL SERVICES; Investment Related; 1506 Klondike Road SW, Suite 103, Conyers, GA 30094; Insurance; Owner/Producer; Start Date 07/1972; 80 hours per month with the majority of hours per month occurring during trading hours; Fixed and traditional Insurance product sales and service. >> NEWTON COUNTY NAACP (NATIONAL ASSOCIATION FOR THE ADVANCEMENT OF COLORED PEOPLE); Non-Investment Related; Covington, GA; Other; Member; Start Date 08/2017; 2 hours per month with no hours per month occurring during trading hours; Support the organization in community and social activities that advance the will of the community. >> NEWTON MENTORING PROGRAM; Non-Investment Related; Covington, GA; Other; Mentor; Start Date 09/2016; 4 hours per month with those hours per month occurring during trading hours; Act as a mentor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Lee Arnold Sr'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: 1506 Klondike Road Sw, Suite 103, Conyers, GA 30094

RIA

CRD#: 105644

CONYERS, GA

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1506 Klondike Road Sw, Suite 103, Conyers, GA 30094

CRD#: 13572

Conyers, GA

Past

March 1, 2023 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Conyers, GA

Past

February 27, 2023 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Conyers, GA

Past

February 1, 2018 - February 27, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CONYERS, GA

Past

January 29, 2018 - February 27, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

CONYERS, GA

Past

May 19, 2005 - February 28, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

CONYERS, GA

Past

October 21, 1999 - February 28, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

CONYERS, GA

Past

October 29, 1997 - November 8, 1999

CENTENNIAL CAPITAL MANAGEMENT, INC.

CRD#: 38988

ATLANTA, GA

Past

January 3, 1997 - October 27, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 19, 1996 - January 23, 1997

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

August 26, 1991 - December 20, 1996

BUCKHEAD FINANCIAL CORPORATION

CRD#: 18398

Past

January 28, 1988 - May 21, 1991

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

October 1, 1987 - January 12, 1988

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

July 17, 1986 - October 5, 1987

G. R. PHELPS & CO., INC.

CRD#: 173

Past

August 26, 1982 - October 3, 1985

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

October 20, 1980 - September 17, 1982

EQUITABLE ADVISORS, LLC

CRD#: 6627

Past

September 9, 1975 - September 17, 1982

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

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".

CETERA INVESTMENT ADVISERS LLC

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.

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)

Florida
(2/20/2025)

Georgia
(2/20/2025)

IAR

Georgia
(2/20/2025)

Maine
(4/24/2025)

Missouri
(2/20/2025)

Nevada
(9/30/2025)

New York
(2/20/2025)

North Carolina
(2/20/2025)

Pennsylvania
(10/28/2025)

South Carolina
(2/20/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

Virginia
(2/20/2025)

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: 5/14/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/2/1975

Registered Representative 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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Frank L. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Lee Arnold Sr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CENTENNIAL CAPITAL MANAGEMENT, INC.

OSAIC WEALTH, INC.

IFG NETWORK SECURITIES, INC.

BUCKHEAD FINANCIAL CORPORATION

WADDELL & REED

PAMCO SECURITIES AND INSURANCE SERVICES

G. R. PHELPS & CO., INC.

TOWER SQUARE SECURITIES, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/14/2005

Series 63

Date: 8/26/1987

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 9/2/1975

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

Contact information

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