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Frederick C. Thompson
CETERA INVESTMENT ADVISERS LLC
PITTSBURGH, PA 15238
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CRD#: 4968168
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Professional summary
Frederick Campbell Thompson, who also goes by Frederick Campbell Thompson Mr., Frederick Thompson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pittsburgh, Pennsylvania and CETERA ADVISORS LLC located in Pittsburgh, Pennsylvania.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Frederick has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frederick Campbell Thompson Mr. | Frederick Thompson
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.
1.LEWIS, MCBETH & D'AMBROSIO, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, EXPENSE MANAGEMENT, STARTED 10/2020, POSITION/TITLE/RELATIONSHIP: PARTNER, APX 40 HOURS PER WEEK,32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ENTITY IS USED TO RUN EXPENSES THROUGH - PAYROLL, RENT, ETC.; 2.SHADY SIDE ACADEMY, NOT INVESTMENT RELATED, 423 FOX CHAPEL RD, PITTSBURGH, PA, 15238, SPORTS, STARTED 09/2017, POSITION/TITLE/RELATIONSHIP: HEAD BOYS LACROSSE COACH, APX 10 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: HEAD LACROSSE COACH AT A HIGH SCHOOL; 3. NAME OF OTHER BUSINESS: INTERGEN ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Campbell Thompson'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
February 16, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1386 Old Freeport Rd Suite #2a, Pittsburgh, PA 15238RIA
CRD#: 105644
PITTSBURGH, PA
Current
December 10, 2020 - Present
CETERA ADVISORS LLC
Office #1: 600 Waterfront Dr Ste 210, Pittsburgh, PA 15222BD
CRD#: 10299
Pittsburgh, PA
Past
December 10, 2020 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
ST. CLOUD, MN
Past
December 8, 2017 - December 22, 2020
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PITTSBURGH, PA
Past
October 25, 2017 - December 22, 2020
OSAIC SERVICES, INC.
BD
CRD#: 133763
PITTSBURGH, PA
Past
January 4, 2016 - June 30, 2017
STRATCAP SECURITIES, LLC
BD
CRD#: 151152
NEW YORK, NY
Past
January 19, 2012 - December 9, 2015
REALTY CAPITAL SECURITIES, LLC
BD
CRD#: 145454
NEW YORK CITY, NY
Past
November 8, 2010 - December 15, 2011
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
July 29, 2005 - November 9, 2010
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Arizona(2/3/2021)
RR
California(12/10/2020)
RR
Colorado(1/12/2021)
RR
Connecticut(12/10/2020)
RR
Delaware(12/10/2020)
RR
District of Columbia(5/24/2022)
RR
Florida(12/10/2020)
RR
Georgia(12/10/2020)
RR
Illinois(12/10/2020)
RR
Kentucky(12/10/2020)
RR
Maine(12/10/2020)
RR
Maryland(12/10/2020)
RR
Massachusetts(12/10/2020)
RR
Michigan(1/3/2022)
RR
Nevada(2/3/2021)
RR
New Hampshire(4/15/2024)
RR
New Jersey(12/10/2020)
RR
New Mexico(12/10/2020)
RR
New York(12/10/2020)
RR
North Carolina(1/30/2025)
RR
Ohio(12/22/2020)
RR
Pennsylvania(12/10/2020)
IAR
Pennsylvania(2/16/2022)
RR
South Carolina(2/3/2021)
RR
Tennessee(1/30/2025)
RR
Texas(12/10/2020)
IAR
Texas(3/21/2024)
RR
Virginia(12/10/2020)
RR
Washington(11/2/2021)
RR
West Virginia(12/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
