Frank Fantozzi

Current Employers

Employment History

• 06/2004 → Present
  Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
  Brecksville, OH
• 07/2004 → Present
  Planned Financial Services, Llc.
  Cleveland, OH

Previous Registrations

• 2000-01-06 → 2004-06-01
  Ws Griffith Securities, Inc.
  Cleveland, OH

Other Businesses

1) 7/30/04: PLANNED FINANCIAL SERVICES - Non-Variable Insurance DBA - At Reported Business Location(s) - Inv Related - 0 Hrs/Mth - 0 Hrs During Trading. 2) 12/12/05 - Inv Rel - Real Estate Rental 3) 12/12/05 : PARTNER IN LLC - Not Inv Rel 4) 12/21/05: ADVISORY & IMPLEMENT RETIREMENT PLANS - 401(K) PLUS - SUBSIDIARY OF PLANNED FINANCIAL SERVICES - Inv Rel 5) 6/12/06: Brecksville Commons Inc. - Inv rel - At Reported Business Location - Real Estate Rental - Time Spent 2% - Commercial Rental Real Estate 6) 7/28/06: Brecksville Soccer Association - Not Investment Related - Non-Profit Board Member - Time Spent 10% - Coaching soccer for a girls travel team. 7) 4/30/09:- Other-Expert Witness under CDFA designation - Not Inv rel - Time Spent 1% 8) 1/22/15: 401(K) Prosperity - Inv rel - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/1/2015 - 40 Hours Per Month During Trading 9) 3/23/15: Fantozzi Family Legacy Trust DTD 02-01-15 - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Started 2-1-2015 - Co-Trustee 10) 3/23/16: Planned Financial Services - Inv rel - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 1/1/1995 - 15 Hours Per Month/0 Hours During Securities Trading 11) 6/21/16: Frank Fantozzi - Not Investment Related - At Reported Business Location(s) - Expert Witness - Start 7/1/16 - 1 Hour Per Month During Securities Trading - Expert Witness, Frank has been subpoenaed to be an expert witness in a case. 12) 12/2/16: Planned Financial Services - INV REL - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start 1/1/2017 - 200 Hours Per Month/140 Hours During Securities Trading - I provide investment advisory services through Planned Financial Services, an independent investment advisor firm. I started this business activity in 0/1994. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 13)12/15/16: PFS Wealth Partners - INV REL - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 01/01/2017 - 20 Hours Per Month During Securities Trading 14)1/6/17 - 401(K) Prosperity - Inv rel - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 1/1/2015 - 40 Hours Per Month During Securities Trading 15) 08/23/23 - Return on Life Wealth Partners - Registered Investment Advisor DBA - IAR - INV REL - At Reported Business Location(s) - Start Date 9/15/23 - 175 Hours a Month/ 8 Hours During Trading 16) 12/19/2024 - World Series of Rock, LLC- Business Owner- Not INV Related- At Reported Business Location(s)- Start date 11/01/2024- 12 Hours a Month- 4 Hours During Trading 17) 06/25/2025 - Other - Author - Not Investment Related - Home Based - Start Date:06/01/2025 - 10 Hrs/Mth - 1 Hrs During Trading. 18) 07/13/2026 - Return on Life Wealth Partners - Author - Not Investment Related - Brecksville, OH - Start DAte 07/01/2026 - 32 hours per month/ during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-07-27