Fredrick Jay Nadeau

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2011 → Present
  Prudential Insurance Company Of America
  Portland, ME
• 01/2011 → 11/2024
  Pruco Securities, Llc.
  Portland, ME
• 11/2024 → Present
  Lpl Enterprise, Llc
  Portland, ME

Previous Registrations

• 2013-06-10 → 2024-11-14
  Pruco Securities, Llc.
  South Portland, ME
  Biddeford, ME
  Portland, ME
  Portland, ME
  Waterville, ME

Other Businesses

1) 09/05/2024 - Nadeau Financial LLC - Tax purpose and administrative LLC - Business Entity For Tax/Investment Purposes Only - inv related - Portland, ME - start date 10/13/2021 - 1 hr/mth - 0 during trading 2) 08/28/2024 - Nadeau Retirement Planning - Financial Services - DBA for LPL Business (entity for LPL business) - inv related - at registered business location(s) - start date 03/01/2022 - 160 hrs/mth - 140 during trading 3) 09/05/2024 - Maine Community Bank - Loanee/ Borrower - not inv related - incorrectly entered new DBAs to be entered - Portland, ME - 10/13/2021 - 0 hrs/mth - 0 during trading 4) 01/07/2025- Equitrust- Non-Variable Insurance- Agent for a fixed annuity insurance carrier paid compensation by the annuity carrier-inv. related- at Portland, ME- start date 01/06/2025- 5hrs/mnth-5hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-05-28
• S63 Uniform Securities Agent State Law Examination
  2011-03-01

Other Names

• Ricky Jay Nadeau
• Rick Jay Nadeau