Fred G Horrocks

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 07/2016 → 12/2019
  Massmutual
  Allentown, PA
• 08/2016 → 12/2019
  Mml Investors Services
  Allentown, PA
• 02/2020 → 02/2026
  International Assets Advisory, Llc
  Collegeville, PA
• 02/2020 → 02/2026
  International Assets Investment Management, Llc
  Collegeville, PA
• 02/2026 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 02/2026 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2020-02-13 → 2026-03-06
  International Assets Investment Management, Llc
  Orlando, FL
  Collegeville, PA
• 2016-08-30 → 2019-12-18
  Mml Investors Services, Llc
  Radnor, PA
  Allentown, PA
• 2007-10-16 → 2016-08-02
  Signator Investors, Inc.
  Yardley, PA
  Roseland, NJ
  Collegeville, PA

Other Businesses

1) SEQUENTIAL FINANCIAL GROUP LLC, 3584 Arcola Road, Collegeville PA 19426, 11/2025, Owner, DBA Name, INV REL, 100 HR/MO, 100 HR/MO TRADING 2) FRED G HORROCKS - SEQUENTIAL FINANCIAL GROUP LLC, 3584 Arcola Road, Collegeville PA 19426, 11/2025, Agent, Insurance/Benefits/Human Resources, NIR, 45 HR/MO, 45 HR/MO TRADING 3) FRED G HORROCKS DBA SEQUENTIAL FINANCIAL GROUP LLC, 3584 Arcola Road, Collegeville PA 19426, 11/2025, Founder, DBA Name, NIR, 20 HR/MO, 20 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-02-16
• S63 Uniform Securities Agent State Law Examination
  1994-08-11