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Todd D. Frederick
CETERA INVESTMENT ADVISERS LLC
EAST FREEDOM, PA 16637
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CRD#: 6400800
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Professional summary
Todd David Frederick, who also goes by Todd Frederick, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in East Freedom, Pennsylvania and CETERA ADVISORS LLC located in East Freedom, Pennsylvania.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Todd has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Todd 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.
1.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START FEBRUARY 2015, 20 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE.
2. ARK FINANCIAL SERVICES, LLC; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; DBA FOR FINANCIAL AND INSURANCE SERVICES; START 6/2015; 40 HOURS/WEEK DURING SECURITIES TRADING HOURS; FINANCIAL PLANNING.
CRS (Client Relationship Summary) - RIA
Click below to view Todd David Frederick'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 259 Shoenfelt St, East Freedom, PA 16637RIA
CRD#: 105644
EAST FREEDOM, PA
Current
March 26, 2015 - Present
CETERA ADVISORS LLC
Office #1: 259 Shoenfelt St, East Freedom, PA 16637BD
CRD#: 10299
East Freedom, PA
Past
June 4, 2019 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
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
Alabama(6/4/2021)
RR
Alaska(1/4/2021)
RR
Arizona(8/16/2024)
RR
Colorado(1/4/2021)
RR
Connecticut(1/17/2023)
RR
Delaware(1/4/2021)
RR
Florida(1/4/2021)
RR
Georgia(1/4/2021)
RR
Indiana(1/4/2021)
RR
Kentucky(7/1/2021)
RR
Maryland(1/4/2021)
RR
Michigan(1/4/2021)
RR
Missouri(2/19/2025)
RR
Nebraska(6/17/2025)
RR
Nevada(1/21/2021)
RR
New Jersey(1/4/2021)
RR
New York(1/21/2021)
RR
North Carolina(1/4/2021)
RR
Ohio(1/5/2021)
RR
Oregon(1/4/2021)
RR
Pennsylvania(6/12/2015)
IAR
Pennsylvania(3/21/2024)
RR
South Carolina(1/4/2021)
RR
Texas(1/4/2021)
IAR
Texas(3/21/2024)
RR
Virginia(1/4/2021)
RR
West Virginia(1/4/2021)
RR
Wyoming(1/4/2021)
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
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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.
