FH
ChFC
FH
ChFC
Fred Horrocks
31 Years of Experience
Collegeville, PA
1 DisclosureBrokerSells Insurance
Fred Horrocks is a ChFC-designated registered investment advisor, based in Collegeville, PA, with 31 years of industry experience.
Location
Collegeville, PA
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
December 2019Other Business ActivitiesSells Insurance
Fred is a sole proprietor of an insurance agency/annuity brokerage since 1994, dedicating about a quarter of his time to providing life, disability, long-term care, and fixed annuities. He is also an advisor with International Assets Investment Management LLC since 2020, spending nearly full-time there, and services an existing book of Midland FIA contracts, dedicating minimal time.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
February 2026 - Present · 3 mos
Cambridge Investment Research, INC.Broker
February 2026 - Present · 3 mos
Previous Registrations
International Assets Investment Management, LLC
February 2020 - March 2026 · 6 yrs 1 mo
International Assets Advisory, LLCBroker
February 2020 - March 2026 · 6 yrs 1 mo
MML Investors Services, LLC
August 2016 - December 2019 · 3 yrs 4 mos
MML Investors Services, LLCBroker
August 2016 - December 2019 · 3 yrs 4 mos
Signator Investors, INC.
October 2007 - August 2016 · 8 yrs 10 mos
Signator Investors, INC.Broker
July 2003 - August 2016 · 13 yrs 1 mo
Metlife Securities INC.Broker
May 2002 - June 2003 · 1 yr 1 mo
Metropolitan Life Insurance CompanyBroker
May 2002 - June 2003 · 1 yr 1 mo
1717 Capital Management CompanyBroker
July 1994 - May 2002 · 7 yrs 10 mos
State Registrations9 states
CTFLGAMDNJNYPASCVA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.