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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

FRANK J CALISE

Advisor at CETERA INVESTMENT ADVISERS LLC

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:2becb9e8-a006-9a28-89be-a35a94e9638d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Dec 4, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 19, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 19, 1998
First registration: Dec 4, 2003
Dual registered: yes, broker-dealer
Other names: FRANK JOHN CALISE|FRANK CALISE|FRANK JOHN CALISE|FRANK JOHN CALISE
IAPD individual key: 3022262

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	SCOTTSDALE, AZ	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jun 22, 2023	Sep 5, 2025	no	Scottsdale, AZ\|DALLAS, TX\|Scottsdale, AZ\|Scottsdale, AZ	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Dec 27, 2018	Jun 26, 2023	no	SCOTTSDALE, AZ	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Aug 9, 2011	Dec 31, 2018	no	MINNEAPOLIS, MN\|SCOTTSDALE, AZ	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 26, 2006	Aug 18, 2009	no	PHOENIX, AZ\|FORT MILL, SC\|SCOTTSDALE, AZ	Previous registration
UNIFIED WEALTH MANAGEMENT, LLC	Former SEC adviser	Apr 5, 2005	Dec 13, 2006	no	PHOENIX, AZ	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Sep 16, 2004	Sep 27, 2006	no	SCOTTSDALE, AZ\|PHOENIX, AZ\|PHOENIX, AZ	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Dec 4, 2003	Oct 11, 2004	no	PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	AVANTAX ADVISORY SERVICES	Jun 26, 2023	Jun 22, 2023	-4	Firm change	Ibd to ibd
QUESTAR ASSET MANAGEMENT, INC.	SECURITIES AMERICA ADVISORS, INC.	Dec 31, 2018	Dec 27, 2018	-4	Firm change	Ibd to ibd
LPL FINANCIAL LLC	QUESTAR ASSET MANAGEMENT, INC.	Aug 18, 2009	Aug 9, 2011	721	Firm change after gap	Other
UNIFIED WEALTH MANAGEMENT, LLC	LPL FINANCIAL LLC	Dec 13, 2006	Sep 26, 2006	-78	Firm change after gap	Other
GUNNALLEN FINANCIAL, INC	UNIFIED WEALTH MANAGEMENT, LLC	Sep 27, 2006	Apr 5, 2005	-540	Firm change after gap	Other
OSAIC WEALTH, INC.	GUNNALLEN FINANCIAL, INC	Oct 11, 2004	Sep 16, 2004	-25	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110518:104556:AZ:2023-06-26	Jun 26, 2023	Jun 22, 2023	SCOTTSDALE, AZ	Firm change
133358:110518:AZ:2018-12-31	Dec 31, 2018	Dec 27, 2018	SCOTTSDALE, AZ	Firm change

Relationships

Registered with (8)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 22, 2023 to Sep 5, 2025factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Dec 27, 2018 to Jun 26, 2023factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 9, 2011 to Dec 31, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 26, 2006 to Aug 18, 2009factForm ADV
→ UNIFIED WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 5, 2005 to Dec 13, 2006factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Sep 16, 2004 to Sep 27, 2006factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Dec 4, 2003 to Oct 11, 2004factForm ADV

Dated events

Occurred
Jun 26, 2023
Advisor changed firm
Frank J Calise left Securities America Advisors, Inc. for Avantax Advisory Services (registered 2023-06-22)
Form ADVobserved 4 days ago