Frederick A. Mecklenburg

ROBERTSON INVESTMENT MANAGEMENT

Houston, TX 77002

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CRD#: 726227

Professional summary

Frederick Allen Mecklenburg SR, who also goes by Fred Mecklenburg, Frederick Allen Mecklenburg, is a registered financial advisor currently at ROBERTSON INVESTMENT MANAGEMENT located in Houston, Texas and NETWORK 1 FINANCIAL SECURITIES INC. located in Houston, Texas.

Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Frederick has worked at 18 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred Mecklenburg | Frederick Allen Mecklenburg

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.

ROBERTSON WEALTH MANAGEMENT RIA POSITION: Portfolio Manager NATURE: Robertson Wealth Management RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 130 START DATE: 12/01/2019 ADDRESS: 919 Milam Suite 550 Houston, TX 77002, United States DESCRIPTION: Portfolio Manager.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Allen Mecklenburg SR'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

January 7, 2011 - Present

ROBERTSON INVESTMENT MANAGEMENT

Office #1: 919 Milam St Suite 500, Houston, TX 77002

RIA

CRD#: 115425

Houston, TX

Current

February 5, 2025 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: 919 Milam Suite 550, Houston, TX 77002

CRD#: 13577

Houston, TX

Past

June 14, 2024 - January 21, 2025

OSAIC WEALTH, INC.

CRD#: 23131

HOUSTON, TX

Past

December 4, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

HOUSTON, TX

Past

July 2, 2012 - November 22, 2019

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

HOUSTON, TX

Past

May 13, 2010 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

HOUSTON, TX

Past

May 3, 2010 - November 22, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

HOUSTON, TX

Past

June 20, 2005 - June 4, 2010

JAMES E.BASHAW & CO.

RIA

CRD#: 129320

HOUSTON, TX

Past

July 2, 2003 - May 3, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

July 2, 2003 - May 3, 2010

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

April 14, 2000 - June 4, 2003

WESTCOTT SECURITIES, LLC

CRD#: 45532

HOUSTON, TX

Past

February 4, 1998 - November 13, 2003

AEGIS ASSET MANAGEMENT INC

RIA

CRD#: 108610

HOUSTON, TX

Past

September 6, 1994 - February 10, 1998

MCFARLAND, GROSSMAN & COMPANY

CRD#: 30850

HOUSTON, TX

Past

March 9, 1994 - May 23, 1994

VICTORIA SECURITIES CORPORATION

CRD#: 22289

Past

July 27, 1993 - January 12, 1994

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

February 8, 1993 - July 20, 1993

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

September 15, 1992 - February 12, 1993

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 23, 1989 - September 21, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 9, 1986 - March 14, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 16, 1984 - December 3, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

August 1, 1984 - December 3, 1984

CYPRES, ROSS AND ASSOCIATES, INC.

CRD#: 10150

Past

March 23, 1981 - July 2, 1984

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".

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 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.

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

IAR

Texas
(1/7/2011)

Texas
(2/6/2025)

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: 4/2/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 11/18/1987

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 11/18/1987

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 8/5/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/17/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

ROBERTSON & ASSOCIATES LLC | ROBERTSON, LANDERS AND ASSOCIATES | ROBERTSON WEALTH MANAGEMENT, LLC | ROBERTSON INVESTMENT MANAGEMENT

CRD#: 115425 / SEC#: 801-120446

RIA

Registered Investment Advisory firm - (4/2/2021 Approved)

Texas

Registered Investment Advisory firm - (4/7/2021 Terminated)

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Contact information

Main Address

919 Milam St Suite 500, Houston, TX 77002

Mailing Address

Phone number

(713) 622-4077

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	779
AUM (Assets Under Management)	$ 273,053,474

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Colorado	ERA - Withdrawn	12/22/2020
Louisiana	ERA - Withdrawn	12/22/2020

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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Advisor Monitoring

Firm Stability Insights

Frederick A. Mecklenburg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederick Allen Mecklenburg SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NETWORK 1 FINANCIAL SECURITIES INC.

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

JAMES E.BASHAW & CO.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WESTCOTT SECURITIES, LLC

AEGIS ASSET MANAGEMENT INC

MCFARLAND, GROSSMAN & COMPANY

VICTORIA SECURITIES CORPORATION

THE VARIABLE ANNUITY MARKETING COMPANY

THE ADVISORS GROUP, INC.

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CYPRES, ROSS AND ASSOCIATES, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

ROBERTSON INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/1981

SIE

Date: 10/1/2018

Series 15

Date: 11/18/1987

Series 5

Date: 11/18/1987

Series 3

Date: 8/5/1983

Series 7

Date: 3/21/1981

Series 8

Date: 3/17/1987

FINRA

Nasdaq Stock Market

Current Firm

ROBERTSON INVESTMENT MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

ROBERTSON INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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