Frederick H. Waller
CETERA INVESTMENT ADVISERS LLC
LANCASTER, PA 17603
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CRD#: 3164047
Professional summary
Frederick H Waller, CFP®, who also goes by Fred Waller, Frederick Henry Waller, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lancaster, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Lancaster, Pennsylvania.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Frederick has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Waller | Frederick Henry Waller
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) Waller Tax and Financial Services 1601 Oregon Pike, Suite 200 Lancaster PA 17601 Tax Preparation/Accounting~1/1/2000~120hrs~120hrs~Tax Preparation Bookkeeping 2) Waller Insurance Agency 1601 Oregon Pike Lancaster PA 17601 Insurance Agent~1/2/2019~15hrs~15hrs I am the agent that offers auto, home, and commercial insurance to potential clients. 3) BRIGHT SIDE OPPORTUNITIES CENTER POSITION: Board of Directors NATURE: I sit on the board and I am the treasurer. It is a non profit organization with youth and health wellness as it's mission. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2018 ADDRESS: 515 Hershey Avenue, Lancaster PA 17603, DESCRIPTION: As treasurer, I have to review the reports generated by the accountant and present to the executive team and the board.
CRS (Client Relationship Summary) - RIA
Click below to view Frederick H Waller's 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®
CFP®
Start date: 2011
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2938 Columbia Ave Suite 102, Lancaster, PA 17603RIA
CRD#: 105644
LANCASTER, PA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2938 Columbia Ave Unit 1101, Lancaster, PA 17603BD
CRD#: 13572
Lancaster, PA
Past
June 16, 2009 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Lancaster, PA
Past
June 15, 2007 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Lancaster, PA
Past
January 19, 1999 - December 31, 2003
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Pennsylvania(9/5/2025)
IAR
Pennsylvania(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Lancaster, PA 17603TRUST BUT VERIFY
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