IF
Ivanhoe V. Ffriend
CETERA INVESTMENT ADVISERS LLC
New Rochelle, NY
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CRD#: 1013083
IF
Professional summary
Ivanhoe Vincent Ffriend, who also goes by IVan Ffriend, Ivan Friend, Ivanhoe VIncent Friend, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Rochelle, New York and CETERA WEALTH SERVICES, LLC located in New Rochelle, New York.
Ivanhoe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Ivanhoe has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ivan Ffriend | Ivan Friend | Ivanhoe Vincent Friend
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 02/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: NORTH RIDGE WEALTH PLANNING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2019 POSITION/TITLE/RELATIONSHIP: ADVISOR - FINANCIAL SERVICES APX NUMBER OF HOURS PER WEEK: 20-30 APX NUMBER OF HOURS DURING TRADING HOURS: 20-30 BRIEF DESCRIPTION OF DUTIES: ADVISOR - FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: FFRIEND ENTERPRISES, LTD INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 1987 POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: MARKETING AND SALES OF PRODUCTS 4. NAME OF OTHER BUSINESS: KB & TN MARKETING INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: MARKETING START DATE: 1987 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: MARKETING LIFE INSURANCE PRODUCTS 5. NAME OF OTHER BUSINESS: GUARDIANSHIP OF INCAPACITATED PERSONS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: GUARDIAN START DATE: 1995 POSITION/TITLE/RELATIONSHIP: GUARDIAN APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: GUARDIAN
CRS (Client Relationship Summary) - RIA
Click below to view Ivanhoe Vincent Ffriend's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
New Rochelle, NY
Current
February 1, 2019 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
New Rochelle, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NEW YORK, NY
Past
May 27, 2008 - February 1, 2019
NORTH RIDGE SECURITIES CORP.
BD
CRD#: 27098
New Rochelle, NY
Past
April 19, 2006 - May 28, 2008
BASIC INVESTORS INC.
BD
CRD#: 1187
EAST MEADOW, NY
Past
January 15, 2003 - April 13, 2006
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
September 22, 1998 - January 21, 2003
FIRST SECURITY INVESTMENTS, INC.
BD
CRD#: 24035
KINGSTON, PA
Past
July 16, 1998 - July 2, 2008
RNR SECURITIES, L.L.C.
BD
CRD#: 43689
EAST MEADOW, NY
Past
January 16, 1998 - June 5, 1998
WISE CHOICE DISCOUNT BROKERAGE, INC.
BD
CRD#: 39924
NEW YORK, NY
Past
August 24, 1990 - October 2, 1997
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
September 26, 1985 - August 30, 1990
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
January 27, 1982 - October 28, 1985
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/15/2025)
RR
Connecticut(2/1/2019)
RR
District of Columbia(3/14/2025)
RR
Georgia(2/1/2019)
RR
New Jersey(2/1/2019)
RR
New York(2/1/2019)
IAR
New York(6/29/2023)
RR
North Carolina(2/1/2019)
RR
Pennsylvania(2/1/2019)
RR
South Carolina(2/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
