Daniel W. Frick

FMP WEALTH ADVISERS

LAKE CHARLES, LA 70605

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CRD#: 5357919

Professional summary

Daniel Whalen Frick, CFP®, who also goes by Daniel W Frick, is a registered financial advisor currently at FMP WEALTH ADVISERS located in Lake Charles, Louisiana.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Daniel has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel W Frick

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 Daniel Whalen Frick'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

September 5, 2012 - Present

FMP WEALTH ADVISERS

Office #1: 4841 Ihles Rd., Lake Charles, LA 70605

RIA

CRD#: 110270

LAKE CHARLES, LA

Past

November 19, 2007 - August 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

October 15, 2007 - August 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

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".

FMP WEALTH ADVISERS

FINANCIAL MANAGEMENT PROFESSIONALS INC | FMP WEALTH ADVISERS

CRD#: 110270 / SEC#: 801-30367

RIA

Registered Investment Advisory firm - (8/17/1987 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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(9/5/2012)

IAR

Texas
(9/5/2012)

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 66

Date: 11/18/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/13/2007

General Securities Representative Examination

Current Firm

FMP WEALTH ADVISERS

FINANCIAL MANAGEMENT PROFESSIONALS INC | FMP WEALTH ADVISERS

CRD#: 110270 / SEC#: 801-30367

RIA

Registered Investment Advisory firm - (8/17/1987 Approved)

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Contact information

Main Address

6034 West Courtyard Drive Suite 380, Austin, TX 78730

Mailing Address

Phone number

(512) 329-5174

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE 10-21-2025 (10/24/2025)

ADV PART 2A BROCHURE 7-22-2025 (7/22/2025)

Regulatory assets under management

Total Number of Accounts	2,749
AUM (Assets Under Management)	$ 1,133,187,757

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
11/21/2024	Cover Page	Report
08/18/2023	Cover Page	Report
02/28/2023	Cover Page	Report

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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Daniel W. Frick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Whalen Frick's CRS (Customer Relationship Summary).

Certified licenses

Experience

FMP WEALTH ADVISERS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FMP WEALTH ADVISERS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/18/2007

Series 7

Date: 10/13/2007

Current Firm

FMP WEALTH ADVISERS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FMP WEALTH ADVISERS

TRUST BUT VERIFY

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