FF
Fredrick W. Fisher
MILESTONE INVESTMENTS
Charlotte, NC 28277-0729
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CRD#: 1877470
FF
Professional summary
Fredrick William Fisher, AIF®, ChFC®, who also goes by Fred Fisher, is a registered financial advisor currently at MILESTONE INVESTMENTS, INC. located in Charlotte, North Carolina.
Fredrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Fredrick has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6, Series 28 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Fisher
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.
Fredrick W. Fisher, 10700 Sikes Place, Suite 315, Charlotte NC 28277, independent licensed insurance agent, 7/1999 to current, offering life, health and disability insurance sales and service through unaffiliated insurance companies, investment related, approximately 5 - 10 hours per week.
CRS (Client Relationship Summary) - RIA
Click below to view Fredrick William Fisher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fredrick William Fisher'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®
Experience
Current
December 16, 2002 - Present
MILESTONE INVESTMENTS, INC.
Office #1: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729Office #2: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729RIA
BD
CRD#: 47090
Charlotte, NC
Current
August 14, 2001 - Present
MILESTONE INVESTMENTS, INC.
Office #1: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729Office #2: 10700 Sikes Place Suite 315, Charlotte, NC 28277-0729RIA
BD
CRD#: 47090
Charlotte, NC
Past
March 27, 2000 - August 9, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
May 17, 1999 - March 10, 2000
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
November 24, 1989 - May 25, 1999
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
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".
MI
MILESTONE INVESTMENTS, INC.
MILESTONE INVESTMENTS, INC.
CRD#: 47090 / SEC#: 801-123585, 8-51664
RIA
Registered Investment Advisory firm - SEC (4/4/2022 Approved)North Carolina
Registered Investment Advisory firm - SEC (4/11/2022 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/7/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Florida(8/14/2001)
IAR
Florida(12/12/2022)
RR
North Carolina(8/14/2001)
IAR
North Carolina(12/16/2002)
RR
Ohio(8/20/2001)
RR
South Carolina(8/14/2001)
IAR
South Carolina(3/19/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 2/4/2016
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MILESTONE INVESTMENTS, INC.
MILESTONE INVESTMENTS, INC.
CRD#: 47090 / SEC#: 801-123585, 8-51664
RIA
Registered Investment Advisory firm - SEC (4/4/2022 Approved)North Carolina
Registered Investment Advisory firm - SEC (4/11/2022 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/7/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
10700 Sikes Place Suite 315, Charlotte, NC 28277-0729
Mailing Address
10700 Sikes Place Suite 315, Charlotte, NC 28277-0729
Phone number
(704) 716-2749
Established
North Carolina since 02/17/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2
SEC notice filing (3 States and Territories)
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 227,487,702 |
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.
