Allen L. Frederick

FARTHER

Wichita, KS

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CRD#: 2781863

Professional summary

Allen Lee Frederick is a registered financial advisor currently at FARTHER located in Wichita, Kansas.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Allen has worked at 13 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. Grove Wealth Advisor, LLC: 8709 E Brentmoor Street Wichita KS 67206: Tax Entity for Securities and Fixed Business: President: Start Date 3/10/2017: Hours per month 160; Hours during trading 160.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Lee Frederick'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

April 15, 2025 - Present

FARTHER

RIA

CRD#: 302050

Wichita, KS

Past

July 3, 2024 - April 16, 2025

SEQUENT PLANNING, LLC

RIA

CRD#: 160381

Wichita, KS

Past

January 2, 2019 - July 8, 2022

CAPITAL MANAGEMENT SERVICES, INC.

RIA

CRD#: 118260

Wichata, KS

Past

March 10, 2017 - October 12, 2018

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

Wichita, KS

Past

May 8, 2013 - March 18, 2015

WILSHIRE-PENNINGTON GROUP, INC.

RIA

CRD#: 127465

WICHITA, KS

Past

August 6, 2009 - May 17, 2011

BANKERS & INVESTORS CO.

RIA

CRD#: 6874

KANSAS CITY, KS

Past

August 6, 2009 - May 17, 2011

BANKERS & INVESTORS CO.

CRD#: 6874

KANSAS CITY, KS

Past

July 28, 2008 - July 28, 2009

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

OLATHE, KS

Past

July 18, 2008 - July 28, 2009

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

OLATHE, KS

Past

July 10, 2006 - April 2, 2008

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

OVERLAND, KS

Past

July 10, 2006 - April 2, 2008

NATIONAL PLANNING CORPORATION

CRD#: 29604

OVERLAND, KS

Past

May 21, 2003 - July 6, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

OVERLAND PARK, KS

Past

March 27, 2003 - July 6, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

OVERLAND PARK, KS

Past

October 1, 2002 - March 19, 2003

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

February 26, 2001 - July 25, 2002

CHAPMAN SECURITIES, INC.

CRD#: 25688

WICHITA, KS

Past

March 21, 2000 - August 28, 2000

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

March 12, 1999 - September 30, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 20, 1997 - October 9, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 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.

Highlighted states indicate IAR registrations

IAR

Kansas
(4/15/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/7/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/14/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/19/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

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.

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Firm Stability Insights

Allen L. Frederick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Lee Frederick's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEQUENT PLANNING, LLC

CAPITAL MANAGEMENT SERVICES, INC.

INTEGRITY ALLIANCE, LLC.

WILSHIRE-PENNINGTON GROUP, INC.

BANKERS & INVESTORS CO.

BANKERS & INVESTORS CO.

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

CHAPMAN SECURITIES, INC.

INVEST FINANCIAL CORPORATION

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1999

Series 63

Date: 10/29/1996

Series 31

Date: 5/7/1999

Series 7

Date: 4/14/1999

Series 6

Date: 2/19/1997

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

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