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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-07-25 |
| CA | RA | APPROVED | 2022-12-02 |
Branch Locations
2300 First Street Ste 336-B, Livermore, CA 94550 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Frank Raymond Incorporated | Livermore | CA | 01/1991 | Present |
| Ayala Research Corp | Livermore | CA | 10/1992 | Present |
| Avantax Investment Services, Inc. | Livermore | CA | 12/2010 | 11/2022 |
| Propayweb, Inc | Livermore | CA | 09/2010 | 12/2016 |
| Avantax Advisory Services | Livermore | CA | 02/2013 | 11/2022 |
| Avantax Insurance Agency, Llc | Livermore | CA | 08/2016 | 11/2022 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2022 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 12/2022 | Present |
| Frank Raymond Inc | Livermore | CA | 01/2000 | Present |
| Frank Raymond Inc; | Livermore | CA | 12/2022 | Present |
1) FRANK RAYMOND INC., NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, PRESIDENT AND CEO, TAX/FINANCIAL SERVICES, OWNER, TAX PREP, PLANNING, BOOKKEEPING, TAX PROBLEM RESOLUTION, BUSINESS CONSULTING, 40HWEEK, SINCE 01/2000. 2) HEALTH INSURANCE SALES, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, 1H/WEEK, SINCE 01/2003 3)NAME OF OTHER BUSINESS: FRANK RAYMOND INC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES & HEALTH INSURANCE;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 2011-08-04 |
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