Frederick J. Shermock

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CRD#: 2634999

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 Joseph Shermock, CFP® was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1995. Frederick had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

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®

CFP^®

Certified Financial Planner

Experience

Past

December 9, 2013 - August 26, 2020

LFA

RIA

CRD#: 114674

ST. CLOUD, MN

Past

June 13, 2002 - August 3, 2020

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SAINT CLOUD, MN

Past

September 29, 2000 - June 12, 2002

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

October 14, 1998 - October 25, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

July 28, 1995 - November 2, 1998

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

PORTLAND, ME

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".

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 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

IAR

Series 65

Date: 1/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 Approved)

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Contact information

Main Address

1219 - 33rd Street South, St. Cloud, MN 56301

Mailing Address

Phone number

(320) 253-2490

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFA ADV BROCHURE (2/4/2025)

Regulatory assets under management

Total Number of Accounts	803
AUM (Assets Under Management)	$ 309,222,813

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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Firm Stability Insights

Frederick J. Shermock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

FIRST ALLIED SECURITIES, INC.

D.E. FREY & COMPANY, INC.

ARK FUNDS DISTRIBUTORS, LLC

Primary Firm SEC Registration

LFA

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/1999

Series 63

Date: 7/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/14/1998

Series 6

Date: 7/27/1995

Current Firm

LFA

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LFA

TRUST BUT VERIFY

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