Frederick C. Robertshaw

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CRD#: 812654

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frederick Charles Robertshaw, who also goes by Fred Charles Robertshaw, was a registered financial professional .

Frederick is a previously registered financial professional and started their career in finance in 1975. Frederick had worked at 8 firms and has passed the Series 63, SIE, PC, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Fred Charles Robertshaw

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 Business: Address: 8931 Appleknoll Lane, Cincinnati, OH, 45236, United States Activity Type: Other Position/Title: Author Investment Related: No Start Date: 11/01/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My avocation outside of work has been spirituality. I have recently written a spiritual book. I presented it to a publisher and it has been accepted. There is no reference made to Raymond James, only saying I have been in financial industry for 48 years. (2)Name of Business: Robertshaw Capital Group Address: 9200 Montgomery Rd Ste 12A, Montgomery, OH, 45242-7794, United States Activity Type: Business Owner Position/Title: Partner, Owner/Proprietor Investment Related: No Start Date: 01/01/2020 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: It is just the name of our business under the banner of Raymond James. (3)Name of Business: St. Francis Sareph Church Address: 1615 Vine Street, Cincinnati, OH, 45202, United States Activity Type: Non profit Position/Title: Other Investment Related: Yes Start Date: 10/01/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am on a 5 person Finance Committee at my church. It is unpaid, no members have accounts with me, and I serve for no personal gain.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 20, 2019 - July 3, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CINCINNATI, OH

Past

September 20, 2019 - July 3, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CINCINNATI, OH

Past

October 19, 2007 - September 23, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

CINCINNATI, OH

Past

October 18, 2007 - September 23, 2019

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

CINCINNATI, OH

Past

October 12, 2007 - October 16, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

CINCINNATI, OH

Past

July 1, 2003 - October 12, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CINCINNATI, OH

Past

July 1, 2003 - October 12, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CINCINNATI, OH

Past

September 12, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

CINCINNATI, OH

Past

September 16, 1977 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

September 25, 1975 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/26/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 6/13/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 9/20/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/26/2008

General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Frederick C. Robertshaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/26/1980

SIE

Date: 10/1/2018

PC

Date: 6/13/1977

Series 7

Date: 9/20/1975

Series 24

Date: 4/26/2008

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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