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John Francis Fricke

Investment Adviser Representative at NORTHEAST PLANNING ASSOCIATES, INC.

Northfield, VTCRD #1975383Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
37 yrs
States Registered
38 states
Exams Passed
4

Professional summary

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

John Francis Fricke has worked in the securities industry since 1989. They are registered to provide investment advisory services in 38 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 38 states
AlabamaArizonaArkansasCaliforniaColoradoConnecticutDelawareFloridaGeorgiaHawaiiIdahoIllinoisIndianaKansasMaineMarylandMassachusettsMichiganMinnesotaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaSouth CarolinaTennesseeTexasUtahVermontVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 1/5/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/21/1989
Series 24
General Securities Principal Examination
Passed 5/17/2004

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Source

Northeast Planning Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

LPL FINANCIAL LLCCurrent
7/25/2007Northfield, VT
NORTHEAST PLANNING ASSOCIATES, INC.Current
11/24/2004Northfield, VT
MUTUAL SERVICE CORPORATION
2/27/200411/19/2004Northfield, VT
VERAVEST INVESTMENT ADVISORS, INC.
11/3/199411/13/2003Northfield, VT

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. John Francis Fricke 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.

John Francis Fricke - Financial Advisor in Northfield, VT | AdvisorFinder