Frederick Raymond Stubbs
Professional Summary
Frederick Raymond Stubbs was a registered financial advisor. Frederick was a previously registered financial professional and started their career in finance 1967 - 2019. Frederick had worked at 7 firms and has passed the Series 63, SIE, Series 1, Series 27 and Series 24 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
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Contact Information
No current employment
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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
59 years in the financial services industry
Current & Past Employments
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Current Firm
ADVOCUS PRIVATE WEALTH | WEINERMAN WEALTH MANAGEMENT | WEALTHPLAN ADVANTAGE | VARDHAN WEALTH MANAGEMENT | THE PRIVATE CLIENT GROUP | THE JASKOL GROUP | THE EXECUTIVE WEALTH GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT FINANCIAL, LLC | SRM PRIVATE WEALTH | SOUTHEAST FINANCIAL GROUP | SILVERTREE, LLC | SIGNET FINANCIAL MANAGEMENT, LLC | SENTINEL WEALTH PARTNERS | SALVO WEALTH GROUP | REX GLOBAL WEALTH MANAGEMENT | RETHINKWEALTH | RADIANCE PRIVATE WEALTH | PHILLIPS FINANCIAL STRATEGIES | PARSONS BROACH FINANCIAL SERVICES | PARKHAVEN PRIVATE WEALTH | PANOPTIC WEALTH ADVOCATES | ORACLE PRIVATE WEALTH ADVISORS | NOLAN WEALTH MANAGEMENT | NATIONAL WEALTH ADVISORS, INC. | NASHVILLE PRIVATE WEALTH MANAGEMENT | MRK WEALTH ADVISORS | MIDWAY WEALTH PARTNERS | MEEDER WEALTH MANAGEMENT | M GROUP | LPWM GROUP | LPF FINANCIAL ADVISORS | LIFETIME WEALTH MANAGEMENT, LLC | LEROY WEALTH MANAGEMENT GROUP | LANDSDOWNE PRIVATE WEALTH MANAGEMENT | KYROS PRIVATE WEALTH | KEYSTONE CAPITAL GROUP | KAMAL CAPITAL GROUP | IVY WEALTH MANAGEMENT | IVY WEALTH ADVISORS | HERITAGE WEALTH PARTNERS | GREAT LAKES PRIVATE WEALTH | GRANDVIEW SQUARE FINANCIAL | GORDON ASSET MANAGEMENT, LLC | GLOBAL FINANCIAL PARTNERS, LLC | GENEX CONSULTING | GATEWAY ADVISORY, LLC | GARRETT, PERKINS & HORTON ADVISORY PARTNERS | EVEREST CONSULTANTS, LLC | ESSEX WEALTH MANAGEMENT | DULWORTH JASKOL | DOUGLAS ROYCE ADVISORY GROUP, LLC | CROW FINANCIAL ADVISORS | CONWAY WEALTH GROUP, LLC | CLU WEALTH ADVISORS LLC | CLARITY CAPITAL PARTNERS | CANON CAPITAL WEALTH MANAGEMENT | BRAD WERNER & COMPANY | BOCA RATON PRIVATE WEALTH MANAGEMENT | BFG WEALTH | ARMSTRONG ADVISORS | ARGOSY WEALTH MANAGEMENT LLC
Contact Information
Main Address
4 Campus Drive, Parsippany, NJ 07054Phone Number
(973) 285-3600# of Employees
490SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
40,628AUM (Assets Under Management)
$26,348,347,965Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | Cover Page | Report |
| 10/25/2024 | Cover Page | Report |
| 12/28/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ADVOCUS PRIVATE WEALTH | WEINERMAN WEALTH MANAGEMENT | WEALTHPLAN ADVANTAGE | VARDHAN WEALTH MANAGEMENT | THE PRIVATE CLIENT GROUP | THE JASKOL GROUP | THE EXECUTIVE WEALTH GROUP | TANISTRY WEALTH MANAGEMENT | SUMMIT FINANCIAL, LLC | SRM PRIVATE WEALTH | SOUTHEAST FINANCIAL GROUP | SILVERTREE, LLC | SIGNET FINANCIAL MANAGEMENT, LLC | SENTINEL WEALTH PARTNERS | SALVO WEALTH GROUP | REX GLOBAL WEALTH MANAGEMENT | RETHINKWEALTH | RADIANCE PRIVATE WEALTH | PHILLIPS FINANCIAL STRATEGIES | PARSONS BROACH FINANCIAL SERVICES | PARKHAVEN PRIVATE WEALTH | PANOPTIC WEALTH ADVOCATES | ORACLE PRIVATE WEALTH ADVISORS | NOLAN WEALTH MANAGEMENT | NATIONAL WEALTH ADVISORS, INC. | NASHVILLE PRIVATE WEALTH MANAGEMENT | MRK WEALTH ADVISORS | MIDWAY WEALTH PARTNERS | MEEDER WEALTH MANAGEMENT | M GROUP | LPWM GROUP | LPF FINANCIAL ADVISORS | LIFETIME WEALTH MANAGEMENT, LLC | LEROY WEALTH MANAGEMENT GROUP | LANDSDOWNE PRIVATE WEALTH MANAGEMENT | KYROS PRIVATE WEALTH | KEYSTONE CAPITAL GROUP | KAMAL CAPITAL GROUP | IVY WEALTH MANAGEMENT | IVY WEALTH ADVISORS | HERITAGE WEALTH PARTNERS | GREAT LAKES PRIVATE WEALTH | GRANDVIEW SQUARE FINANCIAL | GORDON ASSET MANAGEMENT, LLC | GLOBAL FINANCIAL PARTNERS, LLC | GENEX CONSULTING | GATEWAY ADVISORY, LLC | GARRETT, PERKINS & HORTON ADVISORY PARTNERS | EVEREST CONSULTANTS, LLC | ESSEX WEALTH MANAGEMENT | DULWORTH JASKOL | DOUGLAS ROYCE ADVISORY GROUP, LLC | CROW FINANCIAL ADVISORS | CONWAY WEALTH GROUP, LLC | CLU WEALTH ADVISORS LLC | CLARITY CAPITAL PARTNERS | CANON CAPITAL WEALTH MANAGEMENT | BRAD WERNER & COMPANY | BOCA RATON PRIVATE WEALTH MANAGEMENT | BFG WEALTH | ARMSTRONG ADVISORS | ARGOSY WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Sep 1967Series 27 — Financial and Operations Principal Examination
About the Series 27 examSimilar Advisors
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CRS (Client Relationship Summary)
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