Frederick W. Middleton

SENDERO WEALTH MANAGEMENT

San Antonio, TX 78209

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CRD#: 333839

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 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.

Los Amigos Ranch, Yancy,Tx Nature of Business: Family Ranch Relationship: Family Ranch Partial Ownership since 1981, No time devoted to Ranch during securities trading hours. Duties relating to business are typical property ownership responsibilities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Warren Middleton'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

December 5, 2007 - Present

SENDERO WEALTH MANAGEMENT, LLC

Office #1: 250 W. Nottingham Suite 300, San Antonio, TX 78209

RIA

CRD#: 145594

San Antonio, TX

Current

June 4, 2008 - Present

SENDERO SECURITIES, LLC

Office #1: 250 W Nottingham Suite 300, San Antonio, TX 78209Office #2: 250 W Nottingham Suite 300, San Antonio, TX 78209

CRD#: 146627

San Antonio, TX

Past

March 7, 2002 - August 6, 2008

HITHERLANE PARTNERS, LLC

CRD#: 46604

SAN ANTONIO, TX

Past

August 16, 2000 - December 5, 2007

HITHERLANE PARTNERS, LLC

RIA

CRD#: 46604

SAN ANTONIO, TX

Past

January 1, 1991 - April 20, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 30, 1973 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

October 26, 1966 - May 9, 1973

FUNK HART POULTON & MIDDLETON INC

CRD#: 1000001

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".

SENDERO WEALTH MANAGEMENT, LLC

E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO

CRD#: 145594 / SEC#: 801-68572

RIA

Registered Investment Advisory firm - (11/30/2007 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.

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

IAR

Texas
(12/5/2007)

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 8/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/16/1962

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 10/5/1966

Registered Principal Examination

SRO Registrations

FINRA

Current Firm

SENDERO WEALTH MANAGEMENT, LLC

E-WEALTH BY SENDERO | SENDERO WEALTH MANAGEMENT, LLC | SENDERO SECURITIES, LLC | EWEALTH BY SENDERO

CRD#: 145594 / SEC#: 801-68572

RIA

Registered Investment Advisory firm - (11/30/2007 Approved)

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Contact information

Main Address

250 W. Nottingham Suite 300, San Antonio, TX 78209

Mailing Address

Phone number

(210) 805-0171

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SENDERO WEALTH - FORM ADV PART 2A BROCHURE - AUGUST 2020 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,842
AUM (Assets Under Management)	$ 5,823,154,458

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.

Contact information

xxxxx@xxxx.xxx

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Frederick W. Middleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Warren Middleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

SENDERO SECURITIES, LLC

HITHERLANE PARTNERS, LLC

HITHERLANE PARTNERS, LLC

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

FUNK HART POULTON & MIDDLETON INC

Primary Firm SEC Registration

SENDERO WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/1999

Series 63

Date: 7/30/1987

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 4/16/1962

Series 24

Date: 1/2/2023

Series 40

Date: 10/5/1966

FINRA

Current Firm

SENDERO WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SENDERO WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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