Frank Fantozzi has been President, Chief Compliance Officer of Planned Financial Services since January 1994, is a control person of the firm and directly owns 75% or more of it. Frank Fantozzi holds a Master of Science in Taxation from The University of Illinois.
Planned Financial Services, LLC is a Cleveland, OH firm with $473M under management, 284 clients and 5 advisers in one office, as of its February 2026 filing.
Frank Fantozzi is President and Founder of Return on Life Wealth Partners. He founded Planned Financial Services, LLC in 1994, and Return on Life Wealth Partners is that firm's wealth and investment management division. He began his career in 1987 with Arthur Andersen, where he became a Certified Public Accountant in 1988.
Frank Fantozzi’s longest registration is the current one, 22 years at LPL Financial LLC since 2004. Before joining Planned Financial Services in 2005, Frank Fantozzi was registered through WS Griffith Securities, Inc.
- LPL Financial LLCAlso current– present · 22 yearsAdviser representative and broker · Firm CRD 6413
- WS Griffith Securities, Inc.– · 4 yearsCleveland, OH · Adviser representative · Firm CRD 10410
Professional designations
Listed by Planned Financial Services
- Certified Public Accountant (CPA)
- Personal Financial Specialist (PFS)
- Certified Divorce Financial Analyst (CDFA®)
- Accredited Investment Fiduciary® (AIF®)
- Certified Exit Planning Advisor (CEPA)
Investment adviser representative registrations
Frank Fantozzi is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from June 2004; the most recent is Texas, in December 2009.
- OhioSince 7 June 2004
- TexasResidentSince 4 December 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 12 August 2004 |
| Series 7 | General Securities Representative Examination | 12 February 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 July 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 January 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 2441945
- Firm
- Planned Financial Services · CRD 112879
- Role
- President, Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- returnonlifewealth.com
Where does Frank Fantozzi work?
Frank Fantozzi has been President, Chief Compliance Officer of Planned Financial Services, LLC since January 1994, and is a control person of the firm.
Is Frank Fantozzi a financial advisor?
Yes. Frank Fantozzi has a current investment-adviser registration in Ohio and Texas, through Planned Financial Services since July 2005.
How many years of experience does Frank Fantozzi have?
Frank Fantozzi has 32 years in the financial industry, since January 1994, across 3 adviser firms.
What exams has Frank Fantozzi passed?
Frank Fantozzi has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 24. The earliest, the Series 6, was passed in January 1994. FINRA credited Frank Fantozzi with the SIE, which began in October 2018.
Where did Frank Fantozzi work before Planned Financial Services?
Before Planned Financial Services, Frank Fantozzi was registered through WS Griffith Securities, Inc., January 2000 to June 2004.
Is Frank Fantozzi registered with FINRA?
Yes. Frank Fantozzi has a current broker registration, under CRD 2441945.
Source: FINRA BrokerCheck
How can I verify Frank Fantozzi’s record?
Search CRD 2441945 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Frank Fantozzi’s full registration record.