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BF

Brian C. Frederick

Some features on this profile are disabled
CRD#: 4217227
BF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Charles Frederick, CFP®, ChFC®, CLU®, who also goes by Brian Charles Frederick, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian Charles Frederick

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)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Past

September 12, 2019 - January 20, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
SCOTTSDALE, AZ
Past

September 10, 2019 - January 20, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
SCOTTSDALE, AZ
Past

September 19, 2018 - July 1, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Milwaukee, WI
Past

September 18, 2018 - July 1, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Milwaukee, WI
Past

August 9, 2017 - June 7, 2018

LEARNVEST PLANNING SERVICES, LLC

RIA
CRD#: 162453
Scottsdale, AZ
Past

May 14, 2015 - April 28, 2017

INTRINSIC WEALTH COUNSEL, INC.

RIA
CRD#: 105022
TEMPE, AZ
Past

April 10, 2013 - March 31, 2015

STILLWATER FINANCIAL PARTNERS

RIA
CRD#: 167070
SCOTTSDALE, AZ
Past

December 9, 2008 - February 20, 2013

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
SCOTTSDALE, AZ
Past

October 4, 2007 - February 20, 2013

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

September 27, 2007 - December 31, 2008

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
PHOENIX, AZ
Past

September 14, 2007 - December 31, 2007

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
PHOENIX, AZ
Past

July 18, 2007 - August 15, 2007

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ
Past

June 27, 2006 - November 6, 2006

MONUMENT FINANCIAL PLANNING, LLC

RIA
CRD#: 139703
SCOTTSDALE, AZ
Past

August 22, 2000 - January 18, 2001

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/11/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/17/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BH
BMO HARRIS FINANCIAL ADVISORS, INC.
BANK OF MONTREAL | HARRIS INVESTOR SERVICES, INC. | BMO HARRIS FINANCIAL ADVISORS, INC. | BMO HARRIS FINANCIAL ADVISORS, INC | BMO HARRIS FINANCIAL ADVISORS | BHFA

CRD#: 137115 / SEC#: 801-64847, 8-67064

BD
Terminated by SEC on 10/29/2021
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Contact information

Main Address
115 S Lasalle Street 13w, Chicago, IL 60603
Mailing Address
Phone number
Established
Delaware since 08/17/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

BHFA FORM ADV PART 2A (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORPSHAREHOLDER
LAKE, STEPHANIE ANNCHIEF FINANCIAL OFFICER, FIN OP5845009
MCMILLAN, DARREN CHARLESCHIEF COMPLIANCE OFFICER2347547

Disclosures

Regulatory Event7

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

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

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