Dennis Carlyle Frank

Current Employers

Employment History

• 01/2013 → 12/2019
  Nationwide Securities, Llc
  Dublin, OH
• 12/2012 → 12/2019
  Nationwide
  Louisville, KY
• 01/2020 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 12/2019 → Present
  Commonwealth Capital Management Llc
  Louisville, KY
• 01/2009 → Present
  Dennis Frank Financial
  Louisville, KY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-10-31 → 2019-12-31
  Nationwide Securities, Llc
  Louisville, KY
  Louisville, KY

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: 12/2019 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, HEALTH, ANNUITIES AND LONG TERM CARE (2) NAME OF OTHER BUSINESS: DENNIS FRANK FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 2009 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5-10 APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 BRIEF DESCRIPTION OF DUTIES: OWNER - AGENT (3) NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2019 POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: PARSONS INSURANCE SERVICES LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: INSURANCE SALES ; START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: FINANCIAL REPRESENTATIVE ; APX NUMBER OF HOURS PER WEEK: 15-20 APX NUMBER OF HOURS DURING TRADING HOURS: 15-20 BRIEF DESCRIPTION OF DUTIES: SALES AND MARKETING OF INSURANCE PRODUCTS ; (5) NAME OF OTHER BUSINESS: ESTES INSURANCE AGENCY ; INVESTMENT RELATED: NO ; ADDRESS: 1115 JAMESTOWN ST, COLUMBIA, KY 48728 ; NATURE OF BUSINESS: LIFE AND INSURANCE SALES ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; APX NUMBER OF HOURS PER WEEK: 5-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 ; BRIEF DESCRIPTION OF DUTIES: LIFE AND HEALTH INSURANCE SALES ;

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-10-28
• S63 Uniform Securities Agent State Law Examination
  2013-02-15