Stephen A Frederick
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
Contact Information
Main Address
One Federal Street 19th Floor, Boston, MA 02110Mailing Address
One Federal Street 19th Floor, Boston, MA 02110Phone Number
(617) 426-0500Established
Massachusetts since 07/05/1978Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
121SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
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 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory Assets Under Management
Total Number of Accounts
5,596AUM (Assets Under Management)
$4,034,068,345Disclosures
Regulatory Event
31Arbitration
4Bond
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | Cover Page | Report |
| 01/23/2025 | Cover Page | Report |
| 12/04/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC
State Registrations and Notice Filings
(7/27/2011)
(6/23/2026)
(6/20/2008)
(10/10/2019)
(6/20/2008)
(6/20/2008)
(6/23/2026)
(6/23/2026)
(6/20/2008)
(6/20/2008)
(6/20/2008)
(6/23/2022)
(6/20/2008)
(6/20/2008)
(6/20/2008)
(1/27/2020)
(6/20/2008)
(6/20/2008)
(7/15/2011)
(6/23/2022)
(6/20/2008)
(6/8/2017)
(6/20/2008)
(8/13/2019)
(6/20/2008)
(6/18/2019)
(6/20/2008)
(6/23/2026)
(5/19/2009)
(6/23/2026)
(7/30/2019)
(6/20/2008)
(10/23/2018)
(6/20/2008)
(6/20/2008)
(6/20/2008)
(6/23/2026)
(6/20/2008)
(3/10/2014)
(6/7/2019)
(6/20/2008)
(6/20/2008)
(4/13/2026)
(9/17/2008)
(6/23/2026)
(7/9/2012)
(6/20/2008)
(10/31/2016)
(6/20/2008)
(6/20/2008)
(1/3/2017)
(5/15/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2004About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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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).
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