Fred Shocket

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

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

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

Current Employers

Employment History

• 05/2000 → Present
  Financial Independence Planning
  Southampton, PA
• 09/2014 → 06/2021
  Voya Financial Advisors
  Southampton, PA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2025 → Present
  Cwm, Llc Dba Carson Group Partners - Crd # 155344
  Southampton, PA

Previous Registrations

• 2004-01-01 → 2021-06-09
  Voya Financial Advisors, Inc.
  Conshohocken, PA
  Lansdale, PA
  Southampton, PA
  Windsor, CT
• 2003-08-01 → 2004-01-01
  Locust Street Securities, Inc.
  Southampton, PA

Other Businesses

1. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 276 KINGSCLERE DR; SOUTHAMPTON; PA; 18966; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 5/16/2000; 160; 160; SALES OF FIXED INSURANCE PRODUCTS 2. NAME OF ENTITY:Financial Independence Planning, LLC; Yes; 276 KINGSCLERE DR; SOUTH HAMPTON; PA; 18966; Financial Services/dba; sales rep; 5/16/2000; 160; 160; Advisory services, financial planning and sales of securities, insurance and advisory products; 3. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP PARTNERS - CRD # 155344 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 9/2025; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE;

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-11-22

Designations

• Certified Financial Planner