FW
Fredrick T. Wollman
CETERA INVESTMENT ADVISERS LLC
ESCONDIDO, CA 92025
Some features on this profile are disabled
CRD#: 719555
FW
Professional summary
Fredrick Thomas Wollman, CFP®, who also goes by Fredrick T Wollman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Escondido, California and CETERA WEALTH SERVICES, LLC located in Escondido, California.
Fredrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Fredrick has worked at 11 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fredrick T Wollman
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.
1. NAME OF ENTITY: Wollman Wealth Designs, Inc.; Yes; 144 S GRAPE ST; ESCONDIDO; CA; 92025; DBA; owner; 12/21/1998; 3; 0; DBA for insurance and securities sales; 2. NAME OF ENTITY: RE-WRITING YOUR FINANCIALNARRATIVE; No; 144 S GRAPE ST; ESCONDIDO; CA; 92025; NARRATIVE AUTHOR; AUTHOR; 1/1/2017; 2; 0; WRITING A BOOK ABOUT ON HELPING PEOPLE GET THEIR FINANCIAL LIVES IN FOCUS AND DEVELOP A GAME PLAN FOR DEALING WITH THE SPEED BUMPS THAT HAPPEN IN LIFE; 3. NAME OF ENTITY: Ecolife Foundation; No; 324 STATE PLACE; ESCONDIDO; CA; 92029; non-profit organization; board of trustees; 10/1/2010; 8; 8; attend board meetings; participates in fund raising; reviews & comments on minutes and reports; 4. NAME OF ENTITY: South Grape Street Properties, LLC; No; 142 - 144 SOUTH GRAPE STREET; ESCONDIDO; CA; 92025; real estate rental; part owner; 8/1/2006; 0; 0; property ownership and rental; 5. NAME OF ENTITY: DReamProjX / Riseability; No; 30364 Persimmon Lane; valley center; CA; 92082; selling durable medical equipment; Board Member; 6/1/2018; 4; 0; attend board meeting and offer opinions to management; 6. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 4/1981; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, FIXED ANNUITIES, & LONG-TERM CARE; 7. NAME OF OTHER BUSINESS: VALLEY CENTER TRAIL ASSOC; INVESTMENT RELATED: NO; ADDRESS: PO BOX 605, VALLEY CENTER, CA 92082; NATURE OF BUSINESS: BOARD; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RUN BOARD MEETINGS; COORDINATE WITH OTHER BOARD MEMBER & COUNTY PARKS & REC; ADVOCATE FOR PUBLIC ACCESS FOR TRAILS; 8. NAME OF OTHER BUSINESS: ECOLIFE CONSERVATION, INVESTMENT RELATED: NO, ADDRESS: 2810 PIO PICO DR, CARLSBAD, CA 92009, NATURE OF BUSINESS: NON-PROFIT, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: CHAIR OF THE BOARD OF TRUSTEES, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: GUIDANCE; REVIEW ACTIVITIES OF EXECUTIVE DIRECTOR & STAFF; REVIEW FINANCES AND BUDGET WITH THE BOARD & EXECUTIVE DIRECTOR; PRESIDE OVER BOARD MEETINGS.
CRS (Client Relationship Summary) - RIA
Click below to view Fredrick Thomas Wollman'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®
Start date: 1984
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 144 South Grape St, Escondido, CA 92025RIA
CRD#: 105644
ESCONDIDO, CA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 144 South Grape St, Escondido, CA 92025BD
CRD#: 13572
ESCONDIDO, CA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 1, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
ESCONDIDO, CA
Past
October 14, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ESCONDIDO, CA
Past
March 9, 2000 - October 14, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ESCONDIDO, CA
Past
January 12, 2000 - October 14, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
September 20, 1996 - December 20, 1999
DMK ADVISOR GROUP, INC.
BD
CRD#: 41067
LUTZ, FL
Past
August 26, 1994 - September 13, 1996
KOHN, HEBERT & ASSOCIATES, LTD.
BD
CRD#: 31084
Past
May 13, 1991 - July 29, 1994
U.S. SECURITIES CLEARING CORP.
BD
CRD#: 15403
SAN DIEGO, CA
Past
December 22, 1989 - December 20, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
January 28, 1987 - March 31, 1988
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
Past
January 8, 1986 - January 16, 1990
MESA SECURITIES CORPORATION
BD
CRD#: 15206
Past
May 13, 1981 - December 9, 1985
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
November 25, 1980 - June 12, 1981
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alaska(6/30/2021)
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
IAR
California(6/29/2023)
RR
Colorado(6/9/2021)
RR
Florida(6/11/2021)
RR
Georgia(6/5/2025)
RR
Idaho(6/9/2021)
RR
Maryland(6/9/2021)
RR
Minnesota(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(9/8/2022)
RR
Oregon(6/9/2021)
RR
Pennsylvania(6/9/2021)
RR
Tennessee(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Utah(6/9/2021)
RR
Virginia(6/9/2021)
RR
Washington(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
