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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Waller is an investment advisor representative at Avantax Advisory Services, with over 20 years of experience in the financial services industry. Frederick Waller has been registered with the Securities and Exchange Commission (SEC) since 2009. Frederick Waller holds the following licenses: Series 6, Series 7, Series 63, Series 65, and SIE. Frederick Waller has a strong track record of helping individuals and families achieve their financial goals. Frederick Waller specializes in providing financial planning, portfolio management, and tax preparation services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Solicitor referral services to third-party investment managers; participant enrollment meetings
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
PA
06/16/2009 - Present
Avantax Advisory Services (Lancaster PA)
TX
01/19/1999 - 12/31/2003
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
IA
Issued 05/08/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/26/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2010
Series 7 - General Securities Representative Examination
BC
Issued 06/14/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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