Hans E. Fredrikson

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CRD#: 1905132

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.

Hans Edward Fredrikson was a registered financial professional .

Hans is a previously registered financial professional and started their career in finance in 1992. Hans had worked at 5 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 PRINCIPIA 13201 CLAYTON RD.ST. LOUIS, MO 63131. CHAIRMAN OF THE ENDOWMENT INVESTMENT COMMITTEE (2012-2016) COMMITTEE MEMBER OF THE ENDOWMENT INVESTMENT COMMITTEE (2016-PRESENT) $500MM AUM SUPPORTS THE ACTIVITIES OF A SCHOOL AND A COLLEGE STARTED APRIL, 2009 5 HRS/MONTH. NOT DURING WORKING HOURS. CHAIRMAN OF 8 PERSON INVESTMENT COMMITTEE OVERSEE THE WORK OF THE CIO OF PRINCIPIA

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

February 24, 2020 - June 29, 2023

FOURTHSTONE LLC

RIA

CRD#: 169067

ST. LOUIS, MO

Past

October 1, 2008 - November 7, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

CLAYTON, MO

Past

May 1, 2001 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

HOUSTON, TX

Past

April 7, 2000 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

June 10, 1992 - January 7, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

FOURTHSTONE LLC

CRD#: 169067 / SEC#: 801-117051

RIA

Registered Investment Advisory firm - (7/29/2019 Approved)

Missouri

Registered Investment Advisory firm - (8/1/2019 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

Series 63

Date: 8/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/8/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/21/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/17/2012

General Securities Sales Supervisor - Options Module Examination

Current Firm

FOURTHSTONE LLC

CRD#: 169067 / SEC#: 801-117051

RIA

Registered Investment Advisory firm - (7/29/2019 Approved)

Missouri

Registered Investment Advisory firm - (8/1/2019 Terminated)

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Contact information

Main Address

575 Maryville Centre Dr. Suite 110, St. Louis, MO 63141

Mailing Address

Phone number

(800) 771-8071

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FOURTHSTONE LLC PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 957,522,312

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

Hans E. Fredrikson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

JPMSI

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

FOURTHSTONE LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/10/1992

Series 7

Date: 6/8/1992

Series 10

Date: 2/21/2012

Series 9

Date: 1/17/2012

Current Firm

FOURTHSTONE LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOURTHSTONE LLC

TRUST BUT VERIFY

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