Frederic W. Amberg

ALERA INVESTMENT ADVISORS

Scottsdale, AZ 85284

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CRD#: 3140269

Professional summary

Frederic William Amberg, AIF®, who also goes by Fred Amberg, Frederic W. Amberg, Frederic Amberg, is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Scottsdale, Arizona.

Frederic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Frederic has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred Amberg | Frederic W. Amberg | Frederic Amberg

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)Fraser Group LLC;investment related;7150 E Camelback Road,Suite 444,Scottsdale,AZ 85281;LLC created for partnership for payroll,accounting and business expenses;member;8/2011;20 hrs/month;0 hrs during trading;LLC was created to denote split between Fraser Group Partners 2)Villa Del La Amber Sky;investment related;22475 N 91st Place,Scottsdale,AZ 85255;LLC created for real estate holding;member;7/2006;0 hrs/month;0 hrs during trading;family real estate holding in Mexico 3)Amberg K Group LLC;investment related;7952 S Dateland Dr,Tempe,AZ 85284;LLC created for payroll,accounting and business expenses;member;8/2011;0 hrs/month;0 hrs during trading;Amberg K Group to receive fees for RIA fee based business,used for accounting purposes 4)Appointed with multiple carriers;investment related;7150 E. Camelback Rd,Suite 444,Scottsdale,AZ 85284;selling & servicing insurance products;life agent;8/2011;20 hrs/month;4 hrs during trading;education of plan participants

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederic William Amberg'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 12, 2024 - Present

ALERA INVESTMENT ADVISORS, LLC

Office #1: 16220 N Scottsdale Rd Suite 100, Scottsdale, AZ 85284

RIA

CRD#: 287906

Scottsdale, AZ

Past

January 2, 2019 - June 3, 2022

TRIAD ADVISORS LLC

CRD#: 25803

Scottsdale, AZ

Past

December 7, 2018 - September 6, 2024

ONEDIGITAL

RIA

CRD#: 106766

Scottsdale, AZ

Past

November 26, 2012 - December 31, 2018

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

SCOTTSDALE, AZ

Past

August 26, 2011 - December 31, 2018

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

June 1, 2009 - September 7, 2011

MORGAN STANLEY

RIA

CRD#: 149777

PHOENIX, AZ

Past

June 1, 2009 - September 7, 2011

MORGAN STANLEY

CRD#: 149777

PHOENIX, AZ

Past

March 13, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PHOENIX, AZ

Past

December 18, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PHOENIX, AZ

Past

February 16, 2001 - January 12, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

PHOENIX, AZ

Past

March 23, 2000 - March 1, 2001

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

February 17, 1999 - January 5, 2000

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

November 2, 1998 - January 5, 2000

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

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".

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 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

Arizona
(8/12/2024)

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 66

Date: 2/25/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/19/1999

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: 5/27/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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Contact information

Main Address

Three Parkway North Suite 500, Deerfield, IL 60015-2567

Mailing Address

Phone number

(847) 457-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,097
AUM (Assets Under Management)	$ 3,572,112,624

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

Frederic W. Amberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederic William Amberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

ONEDIGITAL

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

PIPER SANDLER & CO.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

ALERA INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2008

Series 63

Date: 1/19/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/27/2000

Series 6

Date: 10/31/1998

Current Firm

ALERA INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALERA INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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