Aaron A. Fricke

PTMA INVESTMENT ADVISORS

NAPERVILLE, IL 60563

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CRD#: 6958807

Professional summary

Aaron Alexander Fricke is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Naperville, Illinois and PMA SECURITIES, LLC located in Lancaster, Pennsylvania.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Aaron has worked at 3 firms and has passed the Series 66, Series 50, Series 7TO and SIE 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.

Rental property, not investment related, Lancaster PA, collect rent, maintain, own residential property, devote 1-5 hours per month with zero during business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Alexander Fricke'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

February 1, 2021 - Present

PTMA INVESTMENT ADVISORS

Office #1: 2135 Citygate Lane 7th Floor, Naperville, IL 60563

RIA

CRD#: 301973

NAPERVILLE, IL

Current

February 1, 2021 - Present

PMA SECURITIES, LLC

Office #1: 2101 Oregon Pike Suite 200, Lancaster, PA 17601

CRD#: 30397

Lancaster, PA

Past

March 12, 2019 - January 29, 2021

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

LANCASTER, PA

Past

January 1, 2019 - January 29, 2021

RBC CAPITAL MARKETS, LLC

CRD#: 31194

LANCASTER, PA

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".

PTMA INVESTMENT ADVISORS

PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA

Registered Investment Advisory firm - (4/2/2019 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.

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

Florida
(11/15/2023)

Iowa
(11/15/2023)

Missouri
(11/15/2023)

New Hampshire
(10/28/2025)

New York
(2/1/2021)

Pennsylvania
(2/1/2021)

IAR

Pennsylvania
(2/1/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/12/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 50

Date: 4/7/2021

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7TO

Date: 12/28/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/29/2018

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA

Registered Investment Advisory firm - (4/2/2019 Approved)

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Contact information

Main Address

2135 Citygate Lane 7th Floor, Naperville, IL 60563

Mailing Address

Phone number

(630) 657-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PMA ASSET MANAGEMENT PART 2A 2024 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	504
AUM (Assets Under Management)	$ 27,791,353,702

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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Aaron A. Fricke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Alexander Fricke's CRS (Customer Relationship Summary).

Certified licenses

Experience

PMA SECURITIES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

PTMA INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/12/2019

Series 50

Date: 4/7/2021

Series 7TO

Date: 12/28/2018

SIE

Date: 10/29/2018

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PTMA INVESTMENT ADVISORS

TRUST BUT VERIFY

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