David Robert Frederick

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 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

• 01/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2008-02-15 → 2012-02-28
  Pacific West Financial Consultants Inc
  Renton, WA
• 2005-12-06 → 2008-02-15
  Spire Wealth Management, Llc
  Newry, PA
• 2002-12-02 → 2005-11-21
  Grove Point Investments, Llc
  Newry, PA
• 1997-06-17 → 2002-12-31
  Harkins Investment Solutions, Inc.
  Newry, PA

Other Businesses

1. FREDERICK INSURANCE AGENCY AND ARK FINANCIAL SERVICES INC, DBA FOR FIXED INSURANCE AND SECURITIES BUSINESS.

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-12-15

Other Names

• Dave Frederick