FM
Fred L. Middleton
CETERA INVESTMENT ADVISERS LLC
OPELIKA, AL 36801
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CRD#: 3235634
FM
Professional summary
Fred Lann Middleton, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Opelika, Alabama and CETERA ADVISORS LLC located in Montgomery, Alabama.
Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Fred has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 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.
1. NAME OF OTHER BUSINESS: PMG PLANNING INC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2019 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT /OWNER ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND INVESTMENT MANAGEMENT ; 2. NAME OF OTHER BUSINESS: PMG PLANNING ; INVESTMENT RELATED: NO; ADDRESS: 235 OPELIKA RD / 425 PERRY ST AUBURN, AL 36832; NATURE OF BUSINESS: FINANCIAL EDUCATION WORKSHOPS; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR AND MARKETING; APX NUMBER OF HOURS PER WEEK: 4-5; APX NUMBER OF HOURS DURING TRADING HOURS: 4-5; BRIEF DESCRIPTION OF DUTIES: TEACHING FINANCIAL EDUCATION WORKSHOPS; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 02/2018; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG TERM CARE, MEDICARE SUPPLEMENTS AND MEDICARE ADV; 4. AUBURN UNIVERSITY, NOT INVESTMENT RELATED, 135 COLLEGE STREET, AUBURN, AI, 36849, EDUCATIONAL, STARTED 6/2018, POSITION/TITLE/RELATIONSHIP: INSTRUCTOR, APX 2 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROVIDING EDUCATION ON GENERAL FINANCIAL TOPICS UNDER UNIVERSITY'S ADULT EDUCATION PROGRAM. 5. NAME OF OTHER BUSINESS: PMG TAX SERVICE LLC ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: TAX PLANNING AND PREPARATION OF TAX RETURNS ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / TAX PLANNER ; APX NUMBER OF HOURS PER WEEK: 5 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5 ; BRIEF DESCRIPTION OF DUTIES: TAX PLANNING AND ANALYSIS FOR INDIVIDUALS AND BUSINESSES ; 6. NAME OF OTHER BUSINESS: FRED MIDDLETON; INVESTMENT RELATED: YES; ADDRESS: 425 PERRY STREET AUBURN, AL 36832; NATURE OF BUSINESS: INSTRUCTOR FINANCIAL WORKSHOP; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: INSTRUCTOR; APX NUMBER OF HOURS PER WEEK 1-3:; APX NUMBER OF HOURS DURING TRADING HOURS: 1-3; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL WORKSHOP SEMINARS TO THE PUBLIC; 7. NAME OF OTHER BUSINESS: FRED MIDDLETON; INVESTMENT RELATED: NO; ADDRESS: 371 E. THATCH UNIT 3 AUBURN, AL 36832; NATURE OF BUSINESS: REAL ESTATE RENTAL ; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENTAL OF CONDO ON A SHORT TERM BASIS;
CRS (Client Relationship Summary) - RIA
Click below to view Fred Lann Middleton'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: 2012
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2204 Executive Park Drive, Opelika, AL 36801Office #3: 3170 Parliament Circle, Montgomery, AL 36116RIA
CRD#: 105644
OPELIKA, AL
Current
March 30, 2015 - Present
CETERA ADVISORS LLC
Office #1: 3170 Parliament Circle, Montgomery, AL 36116Office #2: 2204 Executive Park Drive, Opelika, AL 36801BD
CRD#: 10299
Montgomery, AL
Past
March 30, 2015 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Montgomery, AL
Past
February 6, 2013 - April 2, 2015
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
MONTGOMERY, AL
Past
August 23, 2011 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
RALEIGH, NC
Past
March 24, 2011 - April 2, 2015
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
MONTGOMERY, AL
Past
May 15, 2006 - March 25, 2011
W. R. TAYLOR & COMPANY, LLC
RIA
CRD#: 107179
MONTGOMERY, AL
Past
May 1, 2006 - March 25, 2011
W. R. TAYLOR & COMPANY, LLC
BD
CRD#: 107179
MONTGOMERY, AL
Past
February 14, 2003 - May 15, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MONTGOMERY, AL
Past
February 14, 2003 - May 15, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 2, 1999 - February 19, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MONTGOMERY, AL
Past
July 20, 1999 - February 19, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Alabama(3/30/2015)
IAR
Alabama(3/21/2024)
RR
Alaska(3/14/2025)
RR
Colorado(1/5/2024)
RR
Florida(3/30/2015)
RR
Georgia(8/14/2019)
RR
Kansas(1/23/2024)
RR
Massachusetts(9/6/2023)
RR
North Carolina(12/3/2018)
RR
Oklahoma(7/28/2022)
RR
Puerto Rico(4/15/2025)
RR
Tennessee(8/10/2023)
RR
Texas(7/28/2022)
IAR
Texas(3/21/2024)
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
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Opelika, AL 36801TRUST BUT VERIFY
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