RF
Richard E. Frick
GLADSTONE WEALTH PARTNERS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2559862
RF
Professional summary
Richard Edward Frick, who also goes by Rick Frick, is a registered financial advisor currently at GLADSTONE WEALTH PARTNERS located in Red Bank, New Jersey and LPL FINANCIAL LLC located in Naples, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Frick
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. 12/21/2018 - GLADSTONE WEALTH GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 2/20/2019 - Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - ADMIN. - 80 Hours Per Month - I provide administrative services through Gladstone Wealth Group, an independent investment advisor firm. I started this business activity on 2/20/2019. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 3. 3/24/2020 - REF Wealth Management - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading. 4. 11/2/2020 - Gladstone Capital Markets - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2020 - 0 Hours Per Month. 5. 11/2/2020 - Gladstone Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2020 - 0 Hours Per Month. 6. 11/18/2020 - GWP Holdings LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Entity for Gladstone companies. 7. 05/11/2023 - Gladstone Aggregator, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 5/01/2023 - 1 Hours Per Month 8. 07/10/2023 - HBFM LLC - Not Investment Related - Bahamas - Other - Reps Business - Partner - Start Date 03/01/2023 - 1 Hour Per Month/ 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Richard Edward Frick'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
January 8, 2019 - Present
GLADSTONE WEALTH PARTNERS
Office #1: 10 Broad Street Suite 202, Red Bank, NJ 07701RIA
CRD#: 250787
Red Bank, NJ
Current
December 26, 2018 - Present
LPL FINANCIAL LLC
Office #2: 10 Broad St., Suite 202, Red Bank, NJ 07701RIA
BD
CRD#: 6413
NAPLES, FL
Past
August 13, 2011 - June 1, 2018
MORGAN STANLEY
RIA
CRD#: 149777
PHILADELPHIA, PA
Past
August 11, 2011 - June 1, 2018
MORGAN STANLEY
BD
CRD#: 149777
PHILADELPHIA, PA
Past
July 1, 2003 - December 2, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEW YORK, NY
Past
November 19, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 8, 1995 - December 6, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 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
Florida(2/15/2022)
IAR
Florida(3/28/2022)
RR
New Jersey(12/27/2018)
IAR
New Jersey(1/8/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
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Contact information
Main Address
2000 Pga Blvd. Suite 4440, Palm Beach Gardens, FL 33408
Mailing Address
1545 Us-206 Suite 300, Bedminster, NJ 07921
Phone number
(908) 719-1313
Established
Firm type
Fiscal year end
# of Employees
163
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,810 |
| AUM (Assets Under Management) | $ 4,943,971,956 |
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.
