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David William Frederick

Investment Adviser Representative at B. RILEY WEALTH ADVISORS, INC.

Poughkeepsie, NYCRD #1075196Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
43 yrs
States Registered
38 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

David William Frederick has worked in the securities industry since 1983. They are registered to provide investment advisory services in 38 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 38 states
ArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMinnesotaMontanaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasVermontVirginiaWashingtonWisconsin
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 10/1/1997
Series 99
Operations Professional Examination
Passed 1/2/2023
Series 62
Corporate Securities Limited Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/20/1993
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 2/19/1983
Series 24
General Securities Principal Examination
Passed 10/25/1995

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

B. Riley Wealth Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

B. RILEY WEALTH ADVISORS, INC.Current
5/2/2014Poughkeepsie, NY
ASSET & FINANCIAL PLANNING, LTD
4/7/20055/6/2014Poughkeepsie, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David William Frederick has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David William Frederick - Financial Advisor in Poughkeepsie, NY | AdvisorFinder