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FREDRIC MARK EDELMAN

FREDRIC M. EDELMAN

Some features on this profile are disabled
CRD#: 1537980
FREDRIC MARK EDELMAN

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.

FREDRIC MARK EDELMAN, who also goes by Ric Edelman, was a registered financial professional .

FREDRIC is a previously registered financial professional and started their career in finance in 1986. FREDRIC had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ric Edelman

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

October 12, 2018 - January 3, 2022

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
FAIRFAX, VA
Past

April 22, 2016 - October 31, 2018

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
FAIRFAX, VA
Past

March 23, 2011 - February 24, 2014

SANDERS MORRIS LLC

RIA
CRD#: 20580
FAIRFAX, VA
Past

September 6, 2007 - August 25, 2009

EDELMAN FINANCIAL ADVISORS LLC

RIA
CRD#: 144494
FAIRFAX, VA
Past

September 13, 2005 - April 22, 2016

SANDERS MORRIS LLC

BD
CRD#: 20580
FAIRFAX, VA
Past

May 8, 1997 - September 13, 2005

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

December 18, 1992 - November 1, 2018

EDELMAN FINANCIAL SERVICES, LLC

RIA
CRD#: 113299
FAIRFAX, VA
Past

August 14, 1990 - May 12, 1997

WORLD INVEST CORPORATION

BD
CRD#: 17223
DEERFIELD BEACH, FL
Past

December 8, 1988 - August 14, 1990

GLOBAL INVESTOR SECURITIES, INC.

BD
CRD#: 7514
Past

December 18, 1987 - December 15, 1988

FIRST CHESAPEAKE SECURITIES CORPORATION

BD
CRD#: 10517
Past

July 23, 1986 - December 23, 1987

CAPITAL EXPANSION GROUP, INC.

BD
CRD#: 16067

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".
EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/7/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/31/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/25/2009
General Securities Principal Examination

Current Firm

EF
EDELMAN FINANCIAL ENGINES
EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA
Registered Investment Advisory firm - (1/14/1998 Approved)
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Contact information

Main Address
3945 Freedom Circle, Santa Clara, CA 95054
Mailing Address
Phone number
(800) 601-5957
Established
Firm type
Fiscal year end
# of Employees
1,616

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)
EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,552,934
AUM (Assets Under Management)$ 292,902,969,770

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.

Company Information

EDELMAN FINANCIAL ENGINES

Preeminent Personal Finance Thought LeaderCRD#: 104510

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Contact information

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