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David Alan Frank

Cetera Investment Advisers LLC

Westlake, OH

Avon Lake, OH

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-04-22
OH RA APPROVED 2014-01-21
  • TX RA
    APPROVED_RES
    Since 2022-04-22
  • OH RA
    APPROVED
    Since 2014-01-21

Branch Locations

2035 Crocker Road, Westlake, OH 44145 • United States

Avon Lake, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc St Cloud MN 12/2008 Present
First Federal Of Lakewood Lakewood OH 12/2008 Present
Cetera Investment Advisers Llc Westlake OH 01/2014 Present
  • 12/2008 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 12/2008 → Present
    First Federal Of Lakewood
    Lakewood, OH
  • 01/2014 → Present
    Cetera Investment Advisers Llc
    Westlake, OH
Previous Registrations
  • 2002-01-24 → 2008-12-18
    Cetera Wealth Services, Llc
    Avon Lake, OH
    Westlake, OH
    Westlake, OH
    North Ridgeville, OH
    Avon, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-07
S63 Uniform Securities Agent State Law Examination 1998-04-30
  • S66 Uniform Combined State Law Examination
    2005-10-07
  • S63 Uniform Securities Agent State Law Examination
    1998-04-30

View on SEC IAPD

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Other Investors

GREGORY STEVEN JOHNSON
KEVIN VINCENT COONEY
DOUGLAS CARL KUHLMAN
MARNIE RENEE RANDEL
THOMAS RANDALL FAIRFAX
Ryan Christopher Smeltzer
Laurel Fitzsimmons
Michael Coletta

Other Offices

PARADIGM WEALTH MANAGEMENT, LLC · WESTLAKE, OH
HIGHLAND CONSULTING ASSOCIATES INC. · CLEVELAND, OH
HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC. · CLEVELAND, OH
COLETTA CAPITAL, LLC · WESTLAKE, OH
ATHLETES FINANCIAL ADVISERS, LLC · WESTLAKE, OH
MORGAN STANLEY · Westlake, OH
RAYMOND JAMES & ASSOCIATES, INC. · WESTLAKE, OH
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WESTLAKE, OH

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