Frederick R. Bennett

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CRD#: 2545434

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.

Frederick Richard Bennett, who also goes by Frederick R Jr Bennett, Rick Bennett, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1997. Frederick had worked at 4 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frederick R Jr Bennett | Rick Bennett

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 advisor shows no other business activity.

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

March 24, 2005 - May 15, 2012

WESCOTT FINANCIAL ADVISORY GROUP LLC

RIA

CRD#: 105989

PHILADELPHIA, PA

Past

June 4, 2004 - February 16, 2005

MERCADIEN ASSET MANAGEMENT, LLC

RIA

CRD#: 121546

HAMILTON, NJ

Past

February 11, 2004 - February 16, 2005

MERCADIEN SECURITIES

CRD#: 122461

HAMILTON, NJ

Past

April 7, 1997 - December 31, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, 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".

WESCOTT FINANCIAL ADVISORY GROUP LLC

CRD#: 105989 / SEC#: 801-29752

RIA

Registered Investment Advisory firm - (6/11/1987 Approved)

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: 5/19/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/30/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/10/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/3/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/15/2004

General Securities Principal Examination

Current Firm

WESCOTT FINANCIAL ADVISORY GROUP LLC

CRD#: 105989 / SEC#: 801-29752

RIA

Registered Investment Advisory firm - (6/11/1987 Approved)

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Contact information

Main Address

30 South 17th Street, Philadelphia, PA 19103-4196

Mailing Address

Phone number

(215) 979-1619

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - WESCOTT PRIMARY (3/14/2025)

Regulatory assets under management

Total Number of Accounts	3,329
AUM (Assets Under Management)	$ 3,725,004,015

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Frederick R. Bennett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERCADIEN ASSET MANAGEMENT, LLC

MERCADIEN SECURITIES

PFS INVESTMENTS INC.

Primary Firm SEC Registration

WESCOTT FINANCIAL ADVISORY GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/2004

Series 65

Date: 7/30/2003

Series 7

Date: 2/10/2004

Series 6

Date: 4/3/1997

Series 24

Date: 11/15/2004

Current Firm

WESCOTT FINANCIAL ADVISORY GROUP LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESCOTT FINANCIAL ADVISORY GROUP LLC

TRUST BUT VERIFY

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