Michael J. Fredi

CETERA INVESTMENT ADVISERS LLC

MEMPHIS, TN 38125

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CRD#: 2477928

Professional summary

Michael John Fredi, who also goes by Mike Fredi, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Memphis, Tennessee and CETERA INVESTMENT SERVICES LLC located in Memphis, Tennessee.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Fredi

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.)BOARD OF DIRECTORS, CORPORATE MEMBERSHIP DIRECTOR OF HIGHLAND HUNDRED FOOTBALL BOOSTER GROUP; FOOTBALL BOOSTER GROUP FOR UNIVERSITY OF MEMPHIS FOOTBALL PROGRAM

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Fredi's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 13, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3577 Hacks Cross Road, Memphis, TN 38125Office #2: 8819 Northwest Drive, Southaven, MS 38671

RIA

CRD#: 105644

MEMPHIS, TN

Current

June 2, 2015 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 3577 Hacks Cross Road, Memphis, TN 38125Office #2: 8819 Northwest Drive, Southaven, MS 38671

CRD#: 15340

Memphis, TN

Past

June 2, 2015 - March 12, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SOUTHAVEN, MS

Past

October 10, 2013 - September 8, 2014

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

MEMPHIS, TN

Past

October 25, 2012 - October 10, 2013

FTB ADVISORS, INC.

RIA

CRD#: 143830

MEMPHIS, TN

Past

October 25, 2012 - September 8, 2014

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

November 14, 2008 - November 9, 2012

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

SOUTHHAVEN, MS

Past

November 4, 2008 - November 9, 2012

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

SOUTHHAVEN, MS

Past

August 17, 2005 - November 3, 2008

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

MEMPHIS, TN

Past

August 16, 2005 - November 3, 2008

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

March 30, 2004 - August 15, 2005

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

MEMPHIS, TN

Past

January 9, 2004 - August 15, 2005

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

January 8, 2004 - January 27, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MEMPHIS, TN

Past

July 1, 1998 - January 27, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 27, 1994 - July 14, 1998

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(3/3/2023)

Arkansas
(7/16/2015)

Florida
(4/10/2018)

Georgia
(3/6/2025)

Illinois
(4/30/2021)

Louisiana
(2/28/2018)

Minnesota
(3/3/2023)

Mississippi
(7/16/2015)

IAR

Mississippi
(11/13/2025)

Missouri
(1/28/2020)

Oklahoma
(6/29/2023)

Tennessee
(1/8/2016)

IAR

Tennessee
(11/13/2025)

Texas
(11/8/2019)

IAR

Texas
(11/13/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/24/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/23/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/24/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/25/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Michael J. Fredi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Fredi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT ADVISERS LLC

FIRST HORIZON ADVISORS, INC.

FTB ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/24/1997

Series 63

Date: 4/25/1994

SIE

Date: 10/1/2018

Series 31

Date: 1/23/2001

Series 7

Date: 12/24/1997

Series 6

Date: 4/25/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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