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MF

Michael J. Fredericks

RISKBRIDGE ADVISORS
Norwalk, CT 06851
Some features on this profile are disabled
CRD#: 3155511
MF

Professional summary

Michael John Fredericks is a registered financial advisor currently at RISKBRIDGE ADVISORS, LLC located in Norwalk, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Fredericks'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 18, 2026 - Present

RISKBRIDGE ADVISORS, LLC

Office #1: 401 Merritt 7 Ph, Norwalk, CT 06851
RIA
CRD#: 310396
Norwalk, CT
Past

May 11, 2024 - August 14, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

May 8, 2024 - November 5, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
PLYMOUTH, MN
Past

May 24, 2011 - August 3, 2023

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

September 4, 2008 - April 1, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

January 14, 1999 - May 3, 1999

BARING INVESTMENT SERVICES, INC.

BD
CRD#: 29645
BOSTON, MA

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".
RA
RISKBRIDGE ADVISORS, LLC
FINLEY DAVIS PRIVATE WEALTH | RISKBRIDGE PRIVATE WEALTH | RISKBRIDGE ADVISORS, LLC | RISKBRIDGE

CRD#: 310396 / SEC#: 801-119715

RIA
Registered Investment Advisory firm - (10/30/2020 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
California
(4/18/2026)
IAR
Connecticut
(4/18/2026)
IAR
New York
(4/18/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/18/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/2/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/2008
General Securities Representative Examination

Current Firm

RA
RISKBRIDGE ADVISORS, LLC
FINLEY DAVIS PRIVATE WEALTH | RISKBRIDGE PRIVATE WEALTH | RISKBRIDGE ADVISORS, LLC | RISKBRIDGE

CRD#: 310396 / SEC#: 801-119715

RIA
Registered Investment Advisory firm - (10/30/2020 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
401 Merritt 7 Ph, Norwalk, CT 06851
Mailing Address
Phone number
(203) 658-6055
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A (MARCH 2025) (3/31/2025)

Regulatory assets under management

Total Number of Accounts205
AUM (Assets Under Management)$ 833,821,631

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.

Company Information

RISKBRIDGE ADVISORS, LLC

CRD#: 310396Norwalk, CT 06851

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