Frederick Warren Middleton
Professional Summary
Frederick Warren Middleton is a registered financial advisor currently at SENDERO WEALTH MANAGEMENT, LLC located in San Antonio, Texas and SENDERO SECURITIES, LLC located in San Antonio, Texas. Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1966. Frederick has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 24 and Series 40...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
64 years in the financial services industry
Current & Past Employments
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Current Firm
E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO
Contact Information
Main Address
250 W. Nottingham Suite 300, San Antonio, TX 78209Phone Number
(210) 805-0171# of Employees
41SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,948AUM (Assets Under Management)
$6,508,711,754Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO
State Registrations and Notice Filings
(12/5/2007)
(6/4/2008)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Apr 1962Series 40 — Registered Principal Examination
Passed Oct 1966SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Frederick Warren Middleton's CRS (Customer Relationship Summary).
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