Fredric W. Williams

OLD PORT ADVISORS

Portland, ME 04101-7104

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CRD#: 712536

Professional summary

Fredric Wallace Williams is a registered financial advisor currently at OLD PORT ADVISORS located in Portland, Maine.

Fredric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Fredric has worked at 4 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 24 and Series 12 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 Fredric Wallace Williams'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

December 4, 2008 - Present

OLD PORT ADVISORS

Office #1: 130 Middle Street 2nd Floor, Portland, ME 04101-7104

RIA

CRD#: 108228

Portland, ME

Past

February 27, 1995 - September 2, 1997

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 11, 1988 - January 16, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 24, 1980 - March 30, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

OLD PORT ADVISORS

INVESTMENT MANAGEMENT & CONSULTING GROUP | OLD PORT ADVISORS, INC | OLD PORT ADVISORS

CRD#: 108228 / SEC#: 801-60130

RIA

Registered Investment Advisory firm - (4/6/2001 Approved)

Maine

Registered Investment Advisory firm - (10/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Maine
(12/4/2008)

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 65

Date: 7/14/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/19/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 7/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/11/1997

General Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 4/18/1984

NYSE Branch Manager Examination

Current Firm

OLD PORT ADVISORS

INVESTMENT MANAGEMENT & CONSULTING GROUP | OLD PORT ADVISORS, INC | OLD PORT ADVISORS

CRD#: 108228 / SEC#: 801-60130

RIA

Registered Investment Advisory firm - (4/6/2001 Approved)

Maine

Registered Investment Advisory firm - (10/5/2001 Terminated)

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Contact information

Main Address

130 Middle Street 2nd Floor, Portland, ME 04101-7104

Mailing Address

Phone number

(207) 774-6552

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OLD PORT ADVISORS BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	2,442
AUM (Assets Under Management)	$ 746,437,303

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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Fredric W. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Fredric Wallace Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

OLD PORT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/1992

Series 63

Date: 9/24/1981

Series 5

Date: 10/19/1981

Series 7

Date: 7/19/1980

Series 24

Date: 7/11/1997

Series 12

Date: 4/18/1984

Current Firm

OLD PORT ADVISORS

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLD PORT ADVISORS

TRUST BUT VERIFY

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