FM
FM
Frank Mezzanotte
27 Years of Experience
Hauppauge, NY
3 DisclosuresBroker
Frank Mezzanotte is a registered investment advisor at Cetera Investment Advisers LLC, based in Hauppauge, NY, with 27 years of industry experience. Frank operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
Loading...
Location
888 Veterans Memorial Highway, Suite 220, Hauppauge, NY, 11788
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2005Denied
Employment Separation After Allegations
November 2000Criminal
May 1990Final Disposition
Other Business Activities
Frank is the 100% owner of FDM Equities, used for personal trading, dedicating minimal time. He is also the 100% owner of FDM Wealth Management, a DBA for Cetera business.
Employment History
Current Registrations
Cetera Investment Advisers LLC
February 2025 - Present · 1 yr 3 mos
Cetera Investment Services LLCBroker
February 2025 - Present · 1 yr 3 mos
Previous Registrations
Financial Resources Group Investment Services, LLCBroker
May 2018 - November 2019 · 1 yr 6 mos
LPL Financial LLC
September 2015 - February 2025 · 9 yrs 5 mos
LPL Financial LLCBroker
August 2012 - February 2025 · 12 yrs 6 mos
Citigroup Global Markets INC.Broker
August 2008 - September 2012 · 4 yrs 1 mo
Essex National Securities, INC.Broker
October 2006 - September 2008 · 1 yr 11 mos
Nfb Investment Services CORP.Broker
January 2005 - October 2006 · 1 yr 9 mos
Greenpoint Securities LLCBroker
January 2004 - January 2005 · 1 yr
Essex National Securities, INC.Broker
March 2001 - January 2004 · 2 yrs 10 mos
Dean Witter Reynolds INC.Broker
August 1998 - December 2000 · 2 yrs 4 mos
State Registrations15 states
AZCACTDEFLGANCNHNJNYOHOKPATXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.