David Frederick
David Frederick is a CFP, ChFC-designated registered investment advisor, based in Poughkeepsie, NY, with 43 years of industry experience.
Location
3344 Route 9 North, Poughkeepsie, NY, 12601
Get directionsHistory
Regulatory History (4)
Customer Dispute
December 2005Customer Dispute
December 2005Customer Dispute
March 2005Customer Dispute
August 2003Other Business ActivitiesSells Insurance
David is a 65% owner and managing partner of Prime Wealth Management LLC, dba Prime Tax Planning Division, focusing on income tax planning and preparation, dedicating about 10-20% of his time. He is also the president and 65% owner of Prime Retirement Asset Mgmt, Inc., dba Prime Wealth Management, a bill paying entity, spending nearly full-time hours on this activity, though all business is conducted through B. Riley Wealth Management. David is also a licensed insurance agent for B. Riley Wealth Insurance Corporation, selling fixed life insurance products, dedicating minimal time to this.
Employment History
Current Registrations
B. Riley Wealth ManagementBroker
B. Riley Wealth Advisors, INC.
Previous Registrations
National Securities CorporationBroker
Asset & Financial Planning, LTD
Prime Capital Services, INC.Broker
Pruco Securities CorporationBroker
State Registrations38 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.