Frederick E. Congdon

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CRD#: 4733596

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frederick Ehrenberg Congdon, who also goes by Ehrenberg Congdon Frederick, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 2003. Frederick had worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ehrenberg Congdon Frederick

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 9, 2025 - November 5, 2025

HOXTON PLANNING & MANAGEMENT, LLC

RIA

CRD#: 319087

Whites Creek, TN

Past

November 16, 2010 - October 4, 2016

TRUSTCORE FINANCIAL SERVICES, LLC

RIA

CRD#: 106522

BRENTWOOD, TN

Past

November 16, 2010 - September 23, 2016

TRUSTCORE INVESTMENTS LLC

CRD#: 15423

BRENTWOOD, TN

Past

March 17, 2009 - November 17, 2010

EQUITY SERVICES, INC.

RIA

CRD#: 265

NASHVILLE, TN

Past

March 17, 2009 - November 17, 2010

EQUITY SERVICES, INC.

CRD#: 265

NASHVILLE, TN

Past

January 12, 2004 - February 6, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

BRENTWOOD, TN

Past

December 4, 2003 - February 6, 2009

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

BRENTWOOD, TN

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".

HOXTON PLANNING & MANAGEMENT, LLC

CRD#: 319087 / SEC#: 801-123434

RIA

Registered Investment Advisory firm - (3/14/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/15/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2003

General Securities Representative Examination

Current Firm

HOXTON PLANNING & MANAGEMENT, LLC

CRD#: 319087 / SEC#: 801-123434

RIA

Registered Investment Advisory firm - (3/14/2022 Approved)

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Contact information

Main Address

8530 Shepherdstown Pike, Shepherdstown, WV 25443

Mailing Address

Phone number

(304) 876-2619

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR HOXTON PLANNING & MANAGEMENT, LLC (2/28/2025)

Regulatory assets under management

Total Number of Accounts	1,236
AUM (Assets Under Management)	$ 491,558,229

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.

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Advisor Monitoring

Firm Stability Insights

Frederick E. Congdon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRUSTCORE FINANCIAL SERVICES, LLC

TRUSTCORE INVESTMENTS LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

HOXTON PLANNING & MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2025

Series 66

Date: 1/2/2004

SIE

Date: 9/23/2016

Series 7

Date: 12/3/2003

Current Firm

HOXTON PLANNING & MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOXTON PLANNING & MANAGEMENT, LLC

TRUST BUT VERIFY

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