AR
Ashley E. Rodabaugh
FREC
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 6711251
AR
Professional summary
Ashley Elizabeth Rodabaugh, who also goes by Ashley Rodabaugh, is a registered financial advisor currently at FREC located in San Francisco, California and FREC SECURITIES LLC located in San Francisco, California.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Ashley has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashley Rodabaugh
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.
Owner of How Are You Still Single, LLC. Located at personal residence. Started 7/01/2018. 15 hours devoted a month, 0 hours during trading hours. Not investment related. Contract work for Guideline Global, LLC. Located at 675 Avenue of the Americas, New York, NY 10010. 1-2 hours every couple months. 0 hours during business hours. Not investment related. Started September 2024.
CRS (Client Relationship Summary) - RIA
Click below to view Ashley Elizabeth Rodabaugh'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
April 28, 2023 - Present
FREC
Office #1: 171 2nd Street 3rd Floor, San Francisco, CA, 94105RIA
CRD#: 325982
San Francisco, CA
Current
May 5, 2022 - Present
FREC SECURITIES LLC
Office #1: 171 2nd Street 3rd Floor, San Francisco, CA 94105Office #2: 171 2nd Street 3rd Floor, San Francisco, CA 94105BD
CRD#: 316641
San Francisco, CA
Past
March 18, 2021 - October 19, 2021
M1 FINANCE
RIA
CRD#: 249787
CHICAGO, IL
Past
July 6, 2020 - October 19, 2021
M1 FINANCE LLC
BD
CRD#: 281242
CHICAGO, IL
Past
March 26, 2019 - June 29, 2020
DOUGH LLC
BD
CRD#: 148243
CHICAGO, IL
Past
January 4, 2017 - March 27, 2019
NATIONWIDE FUND DISTRIBUTORS LLC
BD
CRD#: 25910
Columbus, OH
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".
FR
FREC
FREC | FREC ADVISERS LLC
CRD#: 325982 / SEC#: 801-127783
RIA
Registered Investment Advisory firm - (4/27/2023 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(6/29/2022)
RR
Alaska(5/24/2022)
RR
Arizona(6/27/2022)
RR
Arkansas(6/6/2022)
RR
California(6/3/2022)
IAR
California(4/28/2023)
RR
Colorado(6/21/2022)
RR
Connecticut(6/8/2022)
RR
Delaware(6/17/2022)
RR
District of Columbia(6/7/2022)
RR
Florida(7/4/2022)
RR
Georgia(6/2/2022)
RR
Hawaii(6/16/2022)
RR
Idaho(6/3/2022)
RR
Illinois(6/3/2022)
RR
Indiana(7/19/2022)
RR
Iowa(6/6/2022)
RR
Kansas(6/21/2022)
RR
Kentucky(6/8/2022)
RR
Louisiana(6/8/2022)
RR
Maine(6/3/2022)
RR
Maryland(5/19/2022)
RR
Massachusetts(7/15/2022)
RR
Michigan(5/20/2022)
RR
Minnesota(7/19/2022)
RR
Mississippi(6/3/2022)
RR
Missouri(7/1/2022)
RR
Montana(5/27/2022)
RR
Nebraska(6/13/2022)
RR
Nevada(6/8/2022)
RR
New Hampshire(6/20/2022)
RR
New Jersey(6/6/2022)
RR
New Mexico(6/14/2022)
RR
New York(6/14/2022)
RR
North Carolina(6/3/2022)
RR
North Dakota(6/3/2022)
RR
Ohio(5/31/2022)
RR
Oklahoma(6/8/2022)
RR
Oregon(6/22/2022)
RR
Pennsylvania(6/3/2022)
RR
Puerto Rico(6/8/2022)
RR
Rhode Island(5/27/2022)
RR
South Carolina(6/9/2022)
RR
South Dakota(6/9/2022)
RR
Tennessee(6/6/2022)
RR
Texas(6/29/2022)
RR
Utah(5/9/2022)
RR
Vermont(6/3/2022)
RR
Virgin Islands(7/1/2022)
RR
Virginia(6/1/2022)
RR
Washington(6/9/2022)
RR
West Virginia(6/16/2022)
RR
Wisconsin(6/8/2022)
RR
Wyoming(6/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FR
FREC
FREC | FREC ADVISERS LLC
CRD#: 325982 / SEC#: 801-127783
RIA
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Contact information
Main Address
171 2nd Street 3rd Floor, San Francisco, CA, 94105
Mailing Address
Phone number
(855) 900-3732
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 820 |
| AUM (Assets Under Management) | $ 119,214,747 |
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.
