Frederich Houghton Barber | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frederich Houghton Barber, who also goes by Fred Barber, was a registered financial professional .

Frederich is a previously registered financial professional and started their career in finance in 1987. Frederich had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Fred Barber

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 17, 2006 - March 28, 2018

RHODES INVESTMENT ADVISORS, INC.

RIA

CRD#: 114245

FORT WORTH, TX

Past

July 17, 2006 - March 28, 2018

RHODES SECURITIES, INC.

BD

CRD#: 19610

FORT WORTH, TX

Past

October 22, 2004 - July 24, 2006

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

PLANO, TX

Past

October 22, 2004 - July 24, 2006

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

PLANO, TX

Past

August 24, 2004 - September 23, 2004

OSAIC WEALTH, INC.

RIA

CRD#: 23131

FORT WORTH, TX

Past

August 24, 2004 - September 23, 2004

OSAIC WEALTH, INC.

BD

CRD#: 23131

SCOTTSDALE, AZ

Past

April 29, 2003 - October 21, 2004

HIGH MARK SECURITIES, INC.

BD

CRD#: 42467

LAKELAND, FL

Past

January 4, 1999 - May 29, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

DALLAS, TX

Past

August 10, 1987 - May 7, 2003

VERAVEST INVESTMENTS, INC.

BD

CRD#: 3960

WORCESTER, MA

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".

RI

RHODES INVESTMENT ADVISORS, INC.

CRAIG S. WADE DBA CRAIG S. WADE FINACIAL SERVICES | WHIT WHITFIELD, DBA FE WHITFIELD INVESTMENTS AND INSURANCE | TRICIA CARTER-HABER DBA HABER WEALTH MANAGEMENT | SUSAN PARIS, DBA PARIS FINANCIAL SERVICES | ROBERT L. RICHERSON, III DBA RICHERSON CAPITAL MANAGEMENT PLLC | RHODES SECURITIES, INC. | RHODES INVESTMENT ADVISORS, INC. | PREFERRED FINANCIAL SERVICES, INC. | JOHN RUSH VANN, JR., DBA JOHN RUSH VANN, JR. INVESTMENT MANAGEMENT | JEAN S. FRIE, DBA FRIE FINANCIAL GROUP, INC. | JAMES D. PALMER, DBA PALMER RETIREMENT CONSULTANTS | HARRISON S. REED III, DBA REED INVESTMENTS | GUY M. CUMBIE, DBA CUMBIE ADVISORY SERVICES, INC. | DAVID A. BURGESS DBA BURGESS FINANCIAL

CRD#: 114245 / SEC#: 801-117510

RIA

Registered Investment Advisory firm - (10/18/2019 Approved)

Kansas

Registered Investment Advisory firm - (11/5/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (11/6/2020 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2020 Terminated)

Oklahoma

Registered Investment Advisory firm - (1/22/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (11/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/5/2020 Terminated)

Washington

Registered Investment Advisory firm - (12/31/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 1/16/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 3/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 10/2/2000

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 8/7/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RI

RHODES INVESTMENT ADVISORS, INC.

CRAIG S. WADE DBA CRAIG S. WADE FINACIAL SERVICES | WHIT WHITFIELD, DBA FE WHITFIELD INVESTMENTS AND INSURANCE | TRICIA CARTER-HABER DBA HABER WEALTH MANAGEMENT | SUSAN PARIS, DBA PARIS FINANCIAL SERVICES | ROBERT L. RICHERSON, III DBA RICHERSON CAPITAL MANAGEMENT PLLC | RHODES SECURITIES, INC. | RHODES INVESTMENT ADVISORS, INC. | PREFERRED FINANCIAL SERVICES, INC. | JOHN RUSH VANN, JR., DBA JOHN RUSH VANN, JR. INVESTMENT MANAGEMENT | JEAN S. FRIE, DBA FRIE FINANCIAL GROUP, INC. | JAMES D. PALMER, DBA PALMER RETIREMENT CONSULTANTS | HARRISON S. REED III, DBA REED INVESTMENTS | GUY M. CUMBIE, DBA CUMBIE ADVISORY SERVICES, INC. | DAVID A. BURGESS DBA BURGESS FINANCIAL

CRD#: 114245 / SEC#: 801-117510

RIA

Registered Investment Advisory firm - (10/18/2019 Approved)

Kansas

Registered Investment Advisory firm - (11/5/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (11/6/2020 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2020 Terminated)

Oklahoma

Registered Investment Advisory firm - (1/22/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (11/5/2020 Terminated)

Texas

Registered Investment Advisory firm - (11/5/2020 Terminated)

Washington

Registered Investment Advisory firm - (12/31/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

306 West 7th Street Suite 1000, Fort Worth, TX 76012

Mailing Address

Phone number

(817) 334-0455

Established

Firm type

Fiscal year end

# of Employees

9

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE-JULY 2025 (7/28/2025)

Regulatory assets under management

Total Number of Accounts	815
AUM (Assets Under Management)	$ 376,312,618

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.

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Advisor Monitoring

Firm Stability Insights

Frederich H. Barber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RHODES SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

HIGH MARK SECURITIES, INC.

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

RHODES INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/1999

Series 63

Date: 1/16/1986

SIE

Date: 3/28/2018

Series 7

Date: 10/2/2000

Series 6

Date: 8/7/1987

Current Firm

RHODES INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RHODES INVESTMENT ADVISORS, INC.

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