Frederick R. Maclean

HERITAGE INVESTMENT GROUP

Pompano Beach, FL 33062

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CRD#: 6869834

Professional summary

Frederick Richards Maclean III is a registered financial advisor currently at HERITAGE INVESTMENT GROUP, INC. located in Pompano Beach, Florida.

Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Frederick has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Frederick Richards Maclean III'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®

None

Experience

Current

October 25, 2021 - Present

HERITAGE INVESTMENT GROUP, INC.

Office #1: 2480 N.e. 23rd Street, Pompano Beach, FL 33062

RIA

CRD#: 113204

Pompano Beach, FL

Past

December 21, 2017 - May 6, 2021

DFA SECURITIES LLC

CRD#: 10292

CHARLOTTE, NC

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".

HERITAGE INVESTMENT GROUP, INC.

CRD#: 113204 / SEC#: 801-60396

RIA

Registered Investment Advisory firm - (7/16/2001 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

Florida
(10/25/2021)

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: 10/4/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/5/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2017

General Securities Representative Examination

Current Firm

HERITAGE INVESTMENT GROUP, INC.

CRD#: 113204 / SEC#: 801-60396

RIA

Registered Investment Advisory firm - (7/16/2001 Approved)

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Contact information

Main Address

2480 N.e. 23rd Street, Pompano Beach, FL 33062

Mailing Address

Phone number

(954) 785-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HERITAGE 2025 REVISED FORM ADV PARTS 2A AND 2B (12/2/2025)

Regulatory assets under management

Total Number of Accounts	2,211
AUM (Assets Under Management)	$ 1,913,368,545

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/22/2025	Cover Page	Report
10/04/2024	Cover Page	Report
01/19/2024	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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Frederick R. Maclean

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Richards Maclean III's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFA SECURITIES LLC

Primary Firm SEC Registration

HERITAGE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2021

Series 63

Date: 4/5/2018

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2017

Current Firm

HERITAGE INVESTMENT GROUP, INC.

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HERITAGE INVESTMENT GROUP, INC.

TRUST BUT VERIFY

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