David R. Frederick

CETERA INVESTMENT ADVISERS LLC

EAST FREEDOM, PA 16637

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CRD#: 1179062

Professional summary

David Robert Frederick, who also goes by Dave Frederick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in East Freedom, Pennsylvania and CETERA ADVISORS LLC located in East Freedom, Pennsylvania.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. David has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Frederick

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Frederick's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 259 Shoenfelt St, East Freedom, PA 16637

RIA

CRD#: 105644

EAST FREEDOM, PA

Current

February 28, 2012 - Present

CETERA ADVISORS LLC

Office #1: 259 Shoenfelt St, East Freedom, PA 16637

CRD#: 10299

East Freedom, PA

Past

February 28, 2012 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

February 15, 2008 - February 28, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

February 15, 2008 - February 28, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

EAST FREEDOM, PA

Past

October 22, 2007 - February 15, 2008

SPIRE SECURITIES, LLC

CRD#: 144131

NEWRY, PA

Past

December 6, 2005 - February 15, 2008

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

NEWRY, PA

Past

November 22, 2005 - November 2, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

NEWRY, PA

Past

December 2, 2002 - November 21, 2005

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

NEWRY, PA

Past

November 1, 2002 - November 21, 2005

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

June 17, 1997 - December 31, 2002

HARKINS INVESTMENT SOLUTIONS, INC.

RIA

CRD#: 123034

NEWRY, PA

Past

September 25, 1996 - November 8, 2002

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

June 6, 1994 - July 13, 1995

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

December 10, 1993 - June 7, 1994

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

August 11, 1983 - August 10, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(10/27/2021)

Alaska
(11/12/2018)

Colorado
(7/2/2020)

Delaware
(2/28/2012)

Florida
(7/16/2012)

Georgia
(2/28/2012)

Indiana
(7/16/2014)

Kentucky
(1/4/2023)

Maryland
(2/28/2012)

Michigan
(6/7/2019)

Nevada
(1/4/2023)

New Jersey
(2/28/2012)

New York
(1/4/2023)

North Carolina
(2/28/2012)

Ohio
(2/28/2012)

Oregon
(1/27/2016)

Pennsylvania
(2/28/2012)

IAR

Pennsylvania
(3/21/2024)

South Carolina
(2/14/2017)

Texas
(7/29/2015)

IAR

Texas
(3/21/2024)

Virginia
(2/28/2012)

West Virginia
(2/28/2012)

Wyoming
(9/5/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/3/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/27/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David R. Frederick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Robert Frederick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

SPIRE SECURITIES, LLC

SPIRE WEALTH MANAGEMENT, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

HARKINS INVESTMENT SOLUTIONS, INC.

OSAIC FS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

OSAIC FS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/1983

SIE

Date: 10/1/2018

Series 7

Date: 11/3/2005

Series 6

Date: 6/27/1983

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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