John Maxwell Fricker

Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 01/2015 → 12/2016
  Bank Vontobel Ag, Vontobel Swiss Wealth Advisors
  Zurich
• 01/2017 → 10/2019
  Unemployed
  Palm Beach Gardens, FL
• 11/2019 → 12/2020
  Fmi Family Interiors (Fran Murphy Interiors)
  Juno Beach, FL
• 03/2020 → 06/2020
  Shark Wake Park
  West Palm Beach, FL
• 06/2020 → 12/2021
  Pruco Securities, Llc
  West Palm Beach, FL
• 10/2020 → 12/2021
  The Prudential Insurance Company Of America
  West Palm Beach, FL
• 01/2022 → 08/2024
  Lion Street Financial
  Palm Beach Gardens, FL
• 08/2024 → Present
  Equitable Advisors, Llc
  New York, NY
• 01/2022 → 08/2024
  Flah And Company Insurance And Estate Planners
  Palm Beach Gardens, FL

Previous Registrations

• 2022-01-26 → 2024-08-26
  Lion Street Advisors, Llc
  Palm Beach Gardens, FL
  Austin, TX
• 2021-02-02 → 2021-12-23
  Pruco Securities, Llc.
  West Palm Beach, FL

Other Businesses

outside fixed insurance sales. Fricker Consulting, Inc, 1504 15th Ct., Palm Beach Gardens, FL 33410, President, sole-member S-corporation created as a passthrough entity to accept payment for bonus compensation owed from a previous employer, which was earned prior to joining Equitable Advisors. There are no other activities or duties, and this entity is not involved in any investment or insurance business, 02/18/2025, 1 HR/MO. Trustee for Mother.

Exams

• S66 Uniform Combined State Law Examination
  2021-02-01
• S63 Uniform Securities Agent State Law Examination
  2013-08-15