FW
Frederick H. Winkler
CETERA INVESTMENT ADVISERS LLC
SCHENECTADY, NY 12306
Some features on this profile are disabled
CRD#: 2023551
FW
Professional summary
Frederick Herbert Winkler JR., who also goes by Jr Frederick Herbert Winkler, Rick Winkler, Frederick H Winkler, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schenectady, New York and CETERA WEALTH SERVICES, LLC located in Schenectady, New York.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Frederick has worked at 6 firms and has passed the Series 63, Series 72, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jr Frederick Herbert Winkler | Rick Winkler | Frederick H Winkler
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) RENTAL PROPERTY 'NIR' NY 12306 Rental Property Owner 1/1/2002; 5hrs~0hrs ;BOOKKEEPING,LEASE MANAGEMENT, MAINTENANCE, VENDOR NEGOTIATIONs, COLLECT RENTS, PAY BILLS 2) FRED H. WINKLER & COMPANY CPA, PC POSITION: PRESIDENT NATURE: Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 100 START DATE: 12/20/1985 ADDRESS: 1004 Princetown Rd, Schenectady NY 12306, United States DESCRIPTION: FINANCIAL MANAGEMENT 3) IRA BENEFICIARY FOR GERALD POTTER POSITION: Beneficiary for non family member NATURE: I am the sole primary beneficiary of a non family member's IRA. Gerald Potter has an American Funds IRA account # [REDACTED]. My wife, Patricia Winkler, is the sole contingent beneficiary. Mr. Potter bas been a tax client for 45 years and a financial client for 20 years, being a long time family friend. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 1004 Princetown Road, Schenectady NY 12306, United States DESCRIPTION: I am the FP of record on this account. 4)GERALD W. POTTER REVOCABLE TRUST POSITION: Successor Trustee NATURE: I have personally been a friend of this family for 50 years. Mr. Potter has been a lifetime friend and he has never been married or had any children. He is retired law enforcement and truly has an understanding of the decisions he makes. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/16/2012 ADDRESS: 1004 Princetown Road, Schenectady NY 12306, United States DESCRIPTION: I have no obligations. Our friendship is unconditional.
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Herbert Winkler JR.'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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1004 Princeton Road, Schenectady, NY 12306RIA
CRD#: 105644
SCHENECTADY, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1004 Princetown Road, Schenectady, NY 12306BD
CRD#: 13572
Schenectady, NY
Past
August 28, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Schenectady, NY
Past
August 1, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Schenectady, NY
Past
June 14, 2000 - August 12, 2019
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SCHENECTADY, NY
Past
January 31, 1996 - June 9, 2000
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
January 26, 1990 - December 16, 1993
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
