Dennis Frank
Dennis Frank is a registered investment advisor at Cetera Investment Advisers LLC, based in Louisville, KY, with 13 years of industry experience. Dennis 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
Firm Size
IM Fee
Assets Under Management
Location
10300 Brookridge Village Blvd Suite 103, Louisville, KY, 40291
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dennis sells fixed insurance with various companies, including life, health, annuities, and long-term care. He also owns Dennis Frank Financial, an insurance business, and dedicates a few hours per week to it, and is a representative for Commonwealth Capital Management, LLC, spending about a quarter of his time there.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Nationwide Securities, LLC
Nationwide Securities, LLCBroker
State Registrations4 states
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.