Allen L. Frederick
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.
Allen Lee Frederick was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1997. Allen had worked at 13 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2025 - May 26, 2026
FARTHER
July 3, 2024 - April 16, 2025
SEQUENT PLANNING, LLC
January 2, 2019 - July 8, 2022
CAPITAL MANAGEMENT SERVICES, INC.
March 10, 2017 - October 12, 2018
INTEGRITY ALLIANCE, LLC.
May 8, 2013 - March 18, 2015
WILSHIRE-PENNINGTON GROUP, INC.
August 6, 2009 - May 17, 2011
BANKERS & INVESTORS CO.
August 6, 2009 - May 17, 2011
BANKERS & INVESTORS CO.
July 28, 2008 - July 28, 2009
INTEGRITY ALLIANCE, LLC.
July 18, 2008 - July 28, 2009
INTEGRITY ALLIANCE, LLC.
July 10, 2006 - April 2, 2008
NATIONAL PLANNING CORPORATION
July 10, 2006 - April 2, 2008
NATIONAL PLANNING CORPORATION
May 21, 2003 - July 6, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 27, 2003 - July 6, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 1, 2002 - March 19, 2003
VSR FINANCIAL SERVICES, INC.
February 26, 2001 - July 25, 2002
CHAPMAN SECURITIES, INC.
March 21, 2000 - August 28, 2000
INVEST FINANCIAL CORPORATION
March 12, 1999 - September 30, 1999
MORGAN STANLEY DW INC.
February 20, 1997 - October 9, 1998
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
FARTHER
CRD#: 302050 / SEC#: 801-116721
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FARTHER
CRD#: 302050 / SEC#: 801-116721
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,245 |
| AUM (Assets Under Management) | $ 7,523,810,877 |
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.
