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KF

Kelli Frederick

CETERA INVESTMENT ADVISERS
PRAIRIEVILLE, LA
Some features on this profile are disabled
CRD#: 4335762
KF
Kelli FrederickCETERA INVESTMENT ADVISERS

Professional summary

Kelli Frederick, who also goes by Kelli Leigh Babin, Kelli Babin Frederick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Prairieville, Louisiana and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.

Kelli is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kelli has worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 7, Series 6 and Series 24 exams.

Aliases

Kelli Leigh Babin | Kelli Babin 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) - RIA

Click below to view Kelli Frederick'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

July 31, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
PRAIRIEVILLE, LA
Current

June 6, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 15340
EL SEGUNDO, CA
Current

June 6, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
EL SEGUNDO, CA
Current

June 6, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10358
EL SEGUNDO, CA
Current

June 6, 2023 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10299
EL SEGUNDO, CA
Past

August 10, 2022 - November 17, 2022

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
DENHAM SPRINGS, LA
Past

December 13, 2012 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
DENHAM SPRINGS, LA
Past

November 4, 2003 - November 29, 2012

HANCOCK WHITNEY INVESTMENT SERVICES INC.

BD
CRD#: 40637
BATON ROUGE, LA
Past

January 10, 2003 - November 3, 2003

FINANCIAL DESIGN, INC.

BD
CRD#: 104174
BATON ROUGE, LA
Past

June 13, 2002 - January 7, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

January 30, 2001 - June 7, 2002

FINANCIAL DESIGN, INC.

BD
CRD#: 104174
BATON ROUGE, LA

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
Louisiana
(6/6/2023)
IAR
Louisiana
(7/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/6/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/29/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/2020
General Securities Principal Examination
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)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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#: 105644Prairieville, LA

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