David Benjamin Frank

Current Employers

Employment History

• 01/2017 → 05/2018
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 01/2017 → 05/2018
  Northwestern Mutual Investment Services Llc
  Houston, TX
• 03/2015 → 12/2016
  National Life Group
  Montpelier, VT
• 02/2017 → 05/2018
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 08/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 08/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 04/2020 → 08/2024
  Next Financial Group
  Houston, TX
• 05/2015 → Present
  Innovative Premier Financial Services
  Houston, TX

Previous Registrations

• 2020-08-17 → 2024-09-18
  Next Financial Group, Inc.
  Houston, TX

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 09/1990; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: DAVID & KATE FRANK - RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: MONTGOMERY, TX 77316; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 09/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: OWN A RENTAL PROPERTY THAT IS OUR LAKE HOUSE, THAT WE NOW RENT OUT; 3. NAME OF OTHER BUSINESS: INNOVATIVE PREMIER FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES-RELATED DBA; START DATE: 05/2015; POSITION/TITLE/RELATIONSHIP: CEO; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: SECURITIES-RELATED DBA, OWNER/PRINCIPAL AND THE BUCK STOPS HERE; 4. NAME OF OTHER BUSINESS: ZARC FINANCIAL; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CORPORATE ENTITY THAT ALL FINANCES RUN THROUGH FOR TAX PURPOSES; START DATE: 05/2015; POSITION/TITLE/RELATIONSHIP: CEO; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF THE FIRM, BUCK STOPS WITH ME; 5. NAME OF OTHER BUSINESS: DAVID B. FRANK, NOTARY PUBLIC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY PUBLIC START DATE: 01/2010; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE THINGS; 6. NAME OF OTHER BUSINESS: ZARC FINANCIAL, LLC., DBA INNOVATIVE PREMIER FINANCIAL SERVICES, "IPFS"; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: COMPREHENSIVE PLANNING FIRM FOR OUR CLIENTS AND PROSPECTS; START DATE: 05/2015; POSITION/TITLE/RELATIONSHIP: CEO; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: MANAGEMENT OF ALL OPERATIONS, PRINCIPAL, GA; 7. NAME OF OTHER BUSINESS: HOUSTON LIVESTOCK & RODEO; INVESTMENT RELATED: NO; ADDRESS: NRG STADIUM KIRBY ROAD, HOUSTON, TX 77057; NATURE OF BUSINESS: LIVESTOCK & RODEO; START DATE: 03/2014; POSITION/TITLE/RELATIONSHIP: COMMITTEE CAPTAIN; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: MAKE SURE THAT ALL THE TICKET BOOTHS ARE MANNED, PEOPLE WALKING AROUND HELPING CARNIVAL GOERS; 8. NAME OF OTHER BUSINESS: IPFS PLANNING DBA LUGO; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 5/2026, 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; 9. NAME OF OTHER BUSINESS: MONTGOMERY ISD EDUCATION FOUNDATION BOARD; INVESTMENT RELATED: NO; ADDRESS: 20774 EVA STREET MONTGOMERY, TX 77316; NATURE OF BUSINESS: NON PROFIT; START DATE: 08/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PROMOTE AND SUPPORT PUBLIC EDUCATION, ASSIST WITH FUNDING TO ELEVATE PROGRAMS;

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-08-15
• S63 Uniform Securities Agent State Law Examination
  1994-12-09

Other Names

• David Benjamin Frank
• David Frank
• David Frank