Mark T. Frederick

WEST STATE WEALTH MANAGEMENT GROUP | Private Wealth Advisor

DUBUQUE, IA 52003

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CRD#: 4500276

Professional summary

Mark T Frederick is a registered financial advisor currently at WEST STATE WEALTH MANAGEMENT GROUP, LLC located in Dubuque, Iowa.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Mark has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Services Offered

Retirement Planning Strategies

Estate Planning Strategies

Investment Management

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark T 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

June 24, 2026 - Present

WEST STATE WEALTH MANAGEMENT GROUP, LLC

Office #1: 6601 Boulder Brook Court, Dubuque, IA 52003

RIA

CRD#: 342692

DUBUQUE, IA

Past

December 5, 2014 - July 7, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Dubuque, IA

Past

December 5, 2014 - July 7, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Dubuque, IA

Past

October 13, 2011 - December 9, 2014

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

GALENA, IL

Past

October 13, 2011 - December 9, 2014

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

GALENA, IL

Past

January 30, 2009 - November 7, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

GALENA, IL

Past

August 21, 2008 - November 7, 2011

LPL FINANCIAL LLC

CRD#: 6413

GALENA, IL

Past

April 2, 2002 - August 25, 2008

EDWARD JONES

CRD#: 250

PLATTEVILLE, WI

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

Iowa
(6/24/2026)

IAR

Wisconsin
(6/24/2026)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/29/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/4/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2002

General Securities Representative Examination

Current Firm

WEST STATE WEALTH MANAGEMENT GROUP, LLC

CRD#: 342692 / SEC#: 801-136461

RIA

Registered Investment Advisory firm - (6/10/2026 120-Day Approval)

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Contact information

Main Address

7 West State Street Suite 100, Sharon, PA 16146

Mailing Address

Phone number

(971) 371-3450

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A DISCLOSURE BROCHURE - WEST STATE WEALTH MANAGEMENT GROUP, LLC (5/11/2026)

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark T. Frederick

Professional summary

At a Glance

Services Offered

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark T Frederick's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/2009

Series 63

Date: 4/4/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2002

Current Firm

WEST STATE WEALTH MANAGEMENT GROUP, LLC

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

WEST STATE WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

Contact information

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