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Detailed Report
DENNIS CARLYLE FRANK
CRD#: 6154421
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 10300 BROOKRIDGE VILLAGE BLVD SUITE 103
LOUISVILLE, KY 40291
CETERA ADVISOR NETWORKS LLCCRD#: 13572 10300 BROOKRIDGE VILLAGE BLVD SUITE 103
LOUISVILLE, KY 40291
Registration History
20132014201520162017201820192020202120222023202420252026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2020 - Present (5 years)BNATIONWIDE SECURITIES, LLC (CRD# 11173)2013 - 2019 (6 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2020 - 2023 (3 years)IANATIONWIDE SECURITIES, LLC (CRD# 11173)2016 - 2019 (3 years)
License(s)

State Registrations

B
Florida 8/2/2021
IA
Kentucky 6/29/2023
B
Indiana 1/3/2020
B
Texas 1/3/2020
B
Kentucky 1/3/2020
IA
Texas 6/29/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
10300 BROOKRIDGE VILLAGE BLVD SUITE 103, LOUISVILLE, KY 40291
LOUISVILLE, KY
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
10300 BROOKRIDGE VILLAGE BLVD SUITE 103, LOUISVILLE, KY 40291
LOUISVILLE, KY
Registered with this firm since 1/3/2020
Previous Registration(s)
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IA
 01/03/2020 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
 10/31/2016 - 12/31/2019 NATIONWIDE SECURITIES, LLC (CRD#:11173) LOUISVILLE, KY
B
 02/14/2013 - 12/31/2019 NATIONWIDE SECURITIES, LLC (CRD#:11173) LOUISVILLE, KY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.