MF
Mark D. Frederick
FREDERICK, MARK D.
Roseville, CA 95661
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CRD#: 2132368
MF
Professional summary
Mark David Frederick is a registered financial advisor currently at FREDERICK, MARK D. located in Roseville, California and CETERA INVESTMENT ADVISERS LLC located in Roseville, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. MARK D. FREDERICK; SOLE PROPRIETOR; REGISTERED INVESTMENT ADVISOR, START DATE: 01/01/1996; 0 HOURS PER MONTH. 2. FAMILY TRUST ACCOUNT; BENEFICIARY; FIDUCIARY POSITION(TRUSTEE,POA,EXECUTOR,ECT.) START DATE: 09/01/2014; 40 HOURS PER MONTH. 3. MARK FREDERICK; AGENT; INSURANCE(FIXED/LIFE/HEALTH/P&C.); START DATE: 02/09/2009; 0 HOURS PER MONTH. 4. NAME OF OTHER BUSINESS: FORTIFIED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 6; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Mark David Frederick'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
August 16, 2018 - Present
FREDERICK, MARK D.
Office #1: 1400 Rocky Ridge Drive Suite 250, Roseville, CA 95661RIA
CRD#: 138204
Roseville, CA
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2510 Douglas Blvd Suite 100, Roseville, CA 95661Office #2: 2999 Douglas Blvd Suite 300, Roseville, CA 95661RIA
CRD#: 105644
ROSEVILLE, CA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 2999 Douglas Blvd Suite 120, Roseville, CA 95661BD
CRD#: 10299
Roseville, CA
Past
January 17, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
ROSEVILLE, CA
Past
June 12, 2006 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
ROSEVILLE, CA
Past
October 31, 2005 - June 19, 2006
OSAIC SERVICES, INC.
BD
CRD#: 133763
ROSEVILLE, CA
Past
June 6, 1996 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 4, 1991 - June 6, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 4, 1991 - June 6, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Alabama(9/8/2022)
RR
Arizona(9/8/2022)
RR
Arkansas(9/8/2022)
IAR
California(8/16/2018)
RR
California(9/8/2022)
RR
Iowa(9/8/2022)
RR
Kansas(10/3/2023)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/6/2023)
RR
Nevada(2/27/2024)
RR
North Dakota(10/23/2023)
RR
Oregon(9/8/2022)
RR
Tennessee(9/8/2022)
RR
Texas(7/14/2025)
IAR
Texas(7/14/2025)
RR
Washington(9/8/2022)
RR
Wyoming(9/8/2022)
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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Roseville, CA 95661TRUST BUT VERIFY
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