Erven J. Frericks

VESTECH ASSET MANAGEMENT

Saint Charles, MO

Some features on this profile are disabled

CRD#: 706056

Professional summary

Erven Joseph Frericks JR, CFP®, who also goes by E J Frericks, is a registered financial advisor currently at VESTECH ASSET MANAGEMENT INC. located in Saint Charles, Missouri and VESTECH SECURITIES, INC. located in St. Louis, Missouri.

Erven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Erven has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

E J Frericks

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 Erven Joseph Frericks JR'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®

CFP^®

Certified Financial Planner

Experience

Current

June 22, 2021 - Present

VESTECH ASSET MANAGEMENT INC.

RIA

CRD#: 285685

Saint Charles, MO

Current

April 16, 2020 - Present

VESTECH SECURITIES, INC.

Office #1: 11477 Olde Cabin Rd. Suite 310, St. Louis, MO 63141

CRD#: 41409

St. Louis, MO

Past

November 9, 2005 - May 29, 2018

OSAIC WEALTH, INC.

RIA

CRD#: 23131

CHESTERFIELD, MO

Past

February 3, 1997 - May 29, 2018

OSAIC WEALTH, INC.

CRD#: 23131

CHESTERFIELD, MO

Past

October 31, 1995 - November 19, 2003

PINES FINANCIAL GROUP, INC.

RIA

CRD#: 108446

ST. LOUIS, MO

Past

January 26, 1990 - January 31, 1997

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

August 31, 1987 - January 30, 1990

AMERICAN CAPITAL EQUITIES, INC.

CRD#: 13272

Past

June 24, 1985 - September 15, 1987

FFP SECURITIES, INC.

CRD#: 16337

Past

May 28, 1980 - May 23, 1986

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

March 21, 1980 - June 30, 1980

FSC SECURITIES CORPORATION

CRD#: 7461

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

California
(4/17/2020)

Illinois
(4/23/2020)

Missouri
(5/13/2020)

IAR

Missouri
(6/22/2021)

Tennessee
(7/15/2020)

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

Series 63

Date: 3/28/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/20/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VESTECH ASSET MANAGEMENT INC.

MAENDEL WEALTH | VESTECH ASSET MANAGEMENT INC. | ROYAL CROWN WEALTH MANAGEMENT | MEYER FINANCIAL GROUP

CRD#: 285685 / SEC#:

Connecticut

Registered Investment Advisory firm - (8/8/2017 Approved)

Illinois

Registered Investment Advisory firm - (6/18/2020 Approved)

Kansas

Registered Investment Advisory firm - (6/9/2017 Approved)

Michigan

Registered Investment Advisory firm - (12/2/2016 Approved)

Missouri

Registered Investment Advisory firm - (6/8/2017 Approved)

North Carolina

Registered Investment Advisory firm - (9/21/2017 Approved)

Pennsylvania

Registered Investment Advisory firm - (9/21/2018 Approved)

Texas

Registered Investment Advisory firm - (12/3/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11477 Olde Cabin Road Suite 310, Saint Louis, MO 63141

Mailing Address

Phone number

(314) 828-2111

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 100,032,281

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Erven J. Frericks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erven Joseph Frericks JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

VESTECH SECURITIES, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

PINES FINANCIAL GROUP, INC.

WALNUT STREET SECURITIES, INC.

AMERICAN CAPITAL EQUITIES, INC.

FFP SECURITIES, INC.

FIRST AFFILIATED SECURITIES, INC.

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 3/28/1980

SIE

Date: 5/29/2018

Series 7

Date: 3/15/1980

Series 24

Date: 2/20/1986

FINRA

Current Firm

VESTECH ASSET MANAGEMENT INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VESTECH ASSET MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors