Frederick A. Conti

FINANCIAL SECURITY ADVISORY

Groton, CT

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CRD#: 4122875

Professional summary

Frederick August Conti is a registered financial advisor currently at FINANCIAL SECURITY ADVISORY INC located in Groton, Connecticut and FINANCIAL SECURITY MANAGEMENT, INCORPORATED located in Virginia Beach, Virginia.

Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frederick has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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 Frederick August Conti'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

February 18, 2000 - Present

FINANCIAL SECURITY ADVISORY INC

RIA

CRD#: 110746

Groton, CT

Current

January 19, 2000 - Present

FINANCIAL SECURITY MANAGEMENT, INCORPORATED

Office #1: 477 Viking Drive Suite 305, Virginia Beach, VA 23452

CRD#: 43000

Virginia Beach, VA

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".

FINANCIAL SECURITY ADVISORY INC

CRD#: 110746 / SEC#: 801-54496

RIA

Registered Investment Advisory firm - (5/15/1997 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

Connecticut
(1/26/2000)

IAR

Connecticut
(2/18/2000)

Florida
(1/10/2017)

Massachusetts
(1/9/2023)

New Jersey
(1/9/2023)

Rhode Island
(1/2/2003)

Washington
(1/22/2018)

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: 2/15/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/18/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/15/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL SECURITY ADVISORY INC

CRD#: 110746 / SEC#: 801-54496

RIA

Registered Investment Advisory firm - (5/15/1997 Approved)

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Contact information

Main Address

477 Viking Drive Suite 305, Virginia Beach, VA 23452

Mailing Address

Phone number

(757) 431-1414

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINANCIAL SECURITY ADVISORY, INC. PART IIA BROCHURE 09.29.25 (9/29/2025)

Regulatory assets under management

Total Number of Accounts	3,141
AUM (Assets Under Management)	$ 1,743,248,795

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.

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Frederick A. Conti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick August Conti's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL SECURITY MANAGEMENT, INCORPORATED

Primary Firm SEC Registration

FINANCIAL SECURITY ADVISORY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/2000

Series 63

Date: 1/25/2000

SIE

Date: 10/1/2018

Series 6

Date: 1/18/2000

Series 26

Date: 6/15/2000

FINRA

Current Firm

FINANCIAL SECURITY ADVISORY INC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL SECURITY ADVISORY INC

TRUST BUT VERIFY

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