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Frederick C. Fogarty
FOGARTY WEALTH MANAGEMENT
Missouri City, TX 77459
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CRD#: 4341136
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Professional summary
Frederick Charles Fogarty is a registered financial advisor currently at FOGARTY WEALTH MANAGEMENT, INC. located in Missouri City, Texas.
Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Frederick has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
1) FOGARTY FINANCIAL SERVICES POSITION: owner NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 250 SECURITIES TRADING HOURS: 250 START DATE: 09/01/2007 ADDRESS: 4501 Cartwright Road, Suite 101, Missouri City TX 77459 DESCRIPTION: OFFERING SECURITIES AND INVESTMENT ADVISORY SERVICES POSITION: owner NATURE: Insurance- Fixed Annuities; Life/Health; Long-Term Care INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 2) FOGARTY INVESTMENTS LLC POSITION: owner NATURE: REAL ESTATE INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2007 ADDRESS: 4501 Cartwright Road, Suite 101, Missouri City TX 77459 DESCRIPTION: owner (3) West Webster Lofts; No; Missouri City, TX; HOA Board; Treasurer; 03/2024; 2/ HRS MO; 2/ HRS MO (4) Colonial Lakes Office Park Association; No; Missouri City, TX: HOA Board; President; 03/2024; 2/HRS MO; 2/ HRS MO
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Charles Fogarty's 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®
NoneExperience
Current
July 28, 2016 - Present
FOGARTY WEALTH MANAGEMENT, INC.
Office #1: 4501 Cartwright Road, Suite 101, Missouri City, TX 77459RIA
CRD#: 283998
Missouri City, TX
Past
September 27, 2007 - September 3, 2019
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
MISSOURI CITY, TX
Past
September 17, 2007 - September 3, 2019
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
MISSOURI CITY, TX
Past
June 6, 2006 - September 13, 2007
CAPITAL ONE INVESTMENTS, LLC
BD
CRD#: 17526
SUGAR LAND, TX
Past
December 21, 2001 - June 12, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
HOUSTON, TX
Past
December 21, 2001 - June 12, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
HOUSTON, TX
Past
May 7, 2001 - December 21, 2001
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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".
FW
FOGARTY WEALTH MANAGEMENT, INC.
FOGARTY WEALTH MANAGEMENT | FOGARTY WEALTH MANAGEMENT, INC.
CRD#: 283998 / SEC#: 801-131064
RIA
Registered Investment Advisory firm - (9/9/2024 Approved)Louisiana
Registered Investment Advisory firm - (9/17/2024 Terminated)Texas
Registered Investment Advisory firm - (9/13/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Louisiana(8/2/2016)
IAR
Texas(7/28/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FW
FOGARTY WEALTH MANAGEMENT, INC.
FOGARTY WEALTH MANAGEMENT | FOGARTY WEALTH MANAGEMENT, INC.
CRD#: 283998 / SEC#: 801-131064
RIA
Registered Investment Advisory firm - (9/9/2024 Approved)Louisiana
Registered Investment Advisory firm - (9/17/2024 Terminated)Texas
Registered Investment Advisory firm - (9/13/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4501 Cartwright Road, Suite 101, Missouri City, TX 77459
Mailing Address
Phone number
(281) 403-1818
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 342 |
| AUM (Assets Under Management) | $ 119,497,608 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
