SF
Stephen A. Frederick
MOORS & CABOT
Alexandria, VA 22314
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CRD#: 4362584
SF
Professional summary
Stephen A Frederick is a registered financial advisor currently at MOORS & CABOT, INC. located in Alexandria, Virginia.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 2 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 10 and Series 9 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.
Chairman of Finance Committee, Calvary United Methodist Church, Arlington, VA
1 hour per week, no compensation
CRS (Client Relationship Summary) - RIA
Click below to view Stephen A Frederick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen A Frederick'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
October 31, 2016 - Present
MOORS & CABOT, INC.
Office #1: 1800 Diagonal Road Suite 440, Alexandria, VA 22314RIA
BD
CRD#: 594
Alexandria, VA
Current
June 20, 2008 - Present
MOORS & CABOT, INC.
Office #1: 1800 Diagonal Road Suite 440, Alexandria, VA 22314RIA
BD
CRD#: 594
Alexandria, VA
Past
July 15, 2005 - June 20, 2008
MOORS & CABOT FINANCIAL ADVISORS, LLC
BD
CRD#: 132798
ALEXANDRIA, VA
Past
July 6, 2001 - August 18, 2006
MOORS & CABOT, INC.
BD
CRD#: 594
ALEXANDRIA, 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".
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Alabama(7/27/2011)
RR
Arizona(6/20/2008)
RR
Arkansas(10/10/2019)
RR
California(6/20/2008)
RR
Colorado(6/20/2008)
RR
District of Columbia(6/20/2008)
RR
Florida(6/20/2008)
RR
Georgia(6/20/2008)
RR
Hawaii(6/23/2022)
RR
Idaho(6/20/2008)
RR
Illinois(6/20/2008)
RR
Indiana(6/20/2008)
RR
Iowa(1/27/2020)
RR
Kansas(6/20/2008)
RR
Kentucky(6/20/2008)
RR
Louisiana(7/15/2011)
RR
Maine(6/23/2022)
RR
Maryland(6/20/2008)
RR
Massachusetts(6/8/2017)
RR
Michigan(6/20/2008)
RR
Minnesota(8/13/2019)
RR
Mississippi(6/20/2008)
RR
Missouri(6/18/2019)
RR
Montana(6/20/2008)
RR
Nevada(5/19/2009)
RR
New Jersey(7/30/2019)
RR
New Mexico(6/20/2008)
RR
New York(10/23/2018)
RR
North Carolina(6/20/2008)
RR
North Dakota(6/20/2008)
RR
Ohio(6/20/2008)
RR
Oregon(6/20/2008)
RR
Pennsylvania(3/10/2014)
RR
Rhode Island(6/7/2019)
RR
South Carolina(6/20/2008)
RR
South Dakota(6/20/2008)
RR
Tennessee(1/29/2024)
RR
Texas(9/17/2008)
RR
Vermont(7/9/2012)
RR
Virginia(6/20/2008)
IAR
Virginia(10/31/2016)
RR
Washington(6/20/2008)
RR
West Virginia(6/20/2008)
RR
Wisconsin(1/3/2017)
RR
Wyoming(5/15/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MOORS & CABOT, INC.
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
CRD#: 594 / SEC#: 801-48726, 8-23060
RIA
Registered Investment Advisory firm - SEC (3/30/1995 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Federal Street 19th Floor, Boston, MA 02110
Mailing Address
One Federal Street 19th Floor, Boston, MA 02110
Phone number
(617) 426-0500
Established
Massachusetts since 07/05/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
121
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
