NF
Neil Frederickson
SCHWAB WEALTH ADVISORY
Bloomington, MN 55439
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CRD#: 7682083
NF
Professional summary
Neil Frederickson is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Bloomington, Minnesota and CHARLES SCHWAB & CO., INC. located in Minneapolis, Minnesota.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Neil has worked at 3 firms and has passed the Series 66, 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.
NAME: USA HOCKEY INV REL: Y ADD: 1775 BOB JOHNSTON DR COLORADO SPRINGS CO, 80906 NATURE: YOUTH SPORTS OFFICIAL POSITION: ON ICE OFFICIAL START DATE: 08/01/2014 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0 DUTIES: OFFICATE YOUTH HOCKEY-NOT CURRENTLY ACTIVE BUT REGISTERED TO BE ABLE TO OFFICIATE IF NEEDED.
CRS (Client Relationship Summary) - RIA
Click below to view Neil Frederickson'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®
NoneExperience
Current
June 26, 2025 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 7825 Washington Ave S. Suite 725, Bloomington, MN 55439RIA
CRD#: 159035
Bloomington, MN
Current
April 10, 2024 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 7825 Washington Ave. S. 5th Floor, Minneapolis, MN 55439RIA
BD
CRD#: 5393
Minneapolis, MN
Past
April 10, 2024 - June 26, 2025
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Minneapolis, MN
Past
May 11, 2023 - March 27, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Scottsdale, AZ
Past
February 24, 2023 - March 27, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Scottsdale, AZ
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 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
Alabama(7/17/2025)
RR
Alaska(7/17/2025)
RR
Arizona(7/17/2025)
RR
Arkansas(7/17/2025)
RR
California(7/17/2025)
RR
Colorado(7/17/2025)
RR
Connecticut(7/17/2025)
RR
Delaware(7/17/2025)
RR
District of Columbia(7/17/2025)
RR
Florida(7/17/2025)
RR
Georgia(7/17/2025)
RR
Hawaii(7/17/2025)
RR
Idaho(7/17/2025)
RR
Illinois(7/17/2025)
RR
Indiana(7/17/2025)
RR
Iowa(7/17/2025)
RR
Kansas(7/17/2025)
RR
Kentucky(7/17/2025)
RR
Louisiana(7/17/2025)
RR
Maine(7/17/2025)
RR
Maryland(7/17/2025)
RR
Massachusetts(7/17/2025)
RR
Michigan(7/17/2025)
RR
Minnesota(4/10/2024)
IAR
Minnesota(6/26/2025)
RR
Mississippi(7/17/2025)
RR
Missouri(7/17/2025)
RR
Montana(7/17/2025)
RR
Nebraska(7/17/2025)
RR
Nevada(7/17/2025)
RR
New Hampshire(7/17/2025)
RR
New Jersey(7/17/2025)
RR
New Mexico(7/17/2025)
RR
New York(7/17/2025)
RR
North Carolina(7/17/2025)
RR
North Dakota(7/17/2025)
RR
Ohio(7/22/2025)
RR
Oklahoma(7/17/2025)
RR
Oregon(7/17/2025)
RR
Pennsylvania(7/17/2025)
RR
Puerto Rico(7/17/2025)
RR
Rhode Island(7/17/2025)
RR
South Carolina(7/17/2025)
RR
South Dakota(7/17/2025)
RR
Tennessee(7/17/2025)
RR
Texas(7/17/2025)
IAR
Texas(7/17/2025)
RR
Utah(7/17/2025)
RR
Vermont(7/17/2025)
RR
Virgin Islands(7/17/2025)
RR
Virginia(7/17/2025)
RR
Washington(7/17/2025)
RR
West Virginia(7/17/2025)
RR
Wisconsin(7/17/2025)
RR
Wyoming(7/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/24/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
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.
