Frank J Calise

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2011 → 12/2018
  Questar Capital Corporation
  Minneapolis, MN
• 08/2011 → 12/2018
  Questar Asset Management, Inc.
  Minneapolis, MN
• 12/2018 → 06/2023
  Securities America, Inc.
  Scottsdale, AZ
• 12/2018 → 06/2023
  Securities America Advisors, Inc.
  Scottsdale, AZ
• 05/2006 → Present
  Cfr Capital Group, Llc
  Scottsdale, AZ
• 02/2011 → 01/2024
  Calise Enterprises, Llc Dba H&R Block
  Scottsdale, AZ
• 06/2023 → 09/2025
  Avantax Investment Services Inc.
  Scottsdale, AZ
• 06/2023 → 09/2025
  Avantax Advisory Services
  Scottsdale, AZ
• 06/2023 → 09/2025
  Avantax Insurance Agency, Llc
  Scottsdale, AZ
• 06/2015 → Present
  Kaff Calise Llc
  Scottsdale, AZ
• 12/2019 → 09/2025
  Kaff Paradise, Llc
  Scottsdale, AZ
• 12/2019 → 09/2025
  Kaff Mariposa, Llc
  Scottsdale, AZ
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Scottsdale, AZ
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-06-22 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Scottsdale, AZ
  Scottsdale, AZ
  Scottsdale, AZ
• 2018-12-27 → 2023-06-26
  Securities America Advisors, Inc.
  Scottsdale, AZ
• 2011-08-09 → 2018-12-31
  Questar Asset Management, Inc.
  Minneapolis, MN
  Scottsdale, AZ
• 2006-09-26 → 2009-08-18
  Lpl Financial Llc
  Phoenix, AZ
  Fort Mill, SC
  Scottsdale, AZ
• 2005-04-05 → 2006-12-13
  Unified Wealth Management, Llc
  Phoenix, AZ
• 2004-09-16 → 2006-09-27
  Gunnallen Financial, Inc
  Scottsdale, AZ
  Phoenix, AZ
  Phoenix, AZ
• 2003-12-04 → 2004-10-11
  Osaic Wealth, Inc.
  Phoenix, AZ

Other Businesses

1) SERVICING ANNUITIES WITH GLOBAL ATLANTIC OBA POSITION: Financial Advisor NATURE: Allow for the servicing of prior annuity business with Global Atlantic IMO INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/25/2023 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Servicing an existing annuity. I understand that any new products (including investment switches, exchanges, etc.) will be through Avantax products and offerings. 2) CALISE FAMILY TRUST POSITION: Trustee NATURE: Trustee of Family trust INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/10/2019 ADDRESS: 5523 E St John Road, Scottsdale AZ 85254, United States DESCRIPTION: management of brokerage and bank accounts, tax filings for the trust, this is the extent of my duties?? 3) KAFF CALISE LLC POSITION: Manager NATURE: I own KAFF Calise LLC which is an entity that holds my interest in both Calise Enterprises and CFR Capital Group (both previously disclosed) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/15/2015 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Owner of the company. The sole purpose of this entity is to hold the ownership interest in both Calise Enterprises and CFR Capital Group. There are no duties tied to this entity, as it just holds my ownership of the two entities 4) CFR CAPITAL GROUP LLC POSITION: Manager NATURE: financial planning, investment planning, estate planning, retirement planning and risk analysis INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 05/09/2006 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Manage Employees and company website manage client accounts financial illustrations Seminars Financial review with existing clients 5) NAME OF OTHER BUSINESS: FAMILY STONE TAX GROUP LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION AND ACCOUNTING ; START DATE: 10/2026; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: TAX PREPARATION AND DAY TO DAY OPERATIONS; 6) NAME OF OTHER BUSINESS: FAMILY STONE FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 7/2026; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR DAY-TO-DAY OPERATIONS OF FINANCIAL, INSURANCE, WEALTH MANAGEMENT AND TAX SERVICES ENTITY;

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-05-08
• S63 Uniform Securities Agent State Law Examination
  1998-03-19

Other Names

• Frank John Calise
• Frank Calise
• Frank John Calise
• Frank John Calise