Frank Anthony Gargano

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

• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

(1) NAME OF OTHER BUSINESS: FRANK A. GARGANO INVESTMENT RELATED: NO ADDRESS: WALL, NJ 07719-USA NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: 10/18/2011 APX NUMBER OF HOURS PER WEEK: N/A APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE, HEALTH, DISABILITY, ANNUITIES AND LTC (2) NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 06/2020 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH WELCOME FUNDS, INC.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-08-01
• S63 Uniform Securities Agent State Law Examination
  1992-04-21

Designations

• Chartered Financial Consultant