Samantha Froggatt
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Samantha Froggatt is an investment adviser representative with Cetera Investment Advisers LLC in Mount Pleasant, SC, where they have been registered since 2026. They have worked in the securities industry since 2017 and were previously registered with Avantax Advisory Services. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New York and South Carolina.
Registrations & licenses
- Investment adviser:
- New York, South Carolina
- Broker:
2 states and territories
New York, South Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Squigley FinancialMay 2026 – no end date reportedMount Pleasant, SC
- Avantax Advisory ServicesFeb 2017 – Sep 2025Dallas, TX
- Sally Beauty SupplyMay 2008 – Feb 2017Denton, TX
- Avantax Investment Services, Inc.Feb 2017 – Sep 2025Dallas, TX
- Cetera Wealth Services, LLCSep 2025 – Nov 2025Dallas, TX
- Cetera Investment Advisers LLCSep 2025 – Nov 2025Schaumburg, IL
- Cetera Financial Specialists LLCSep 2025 – Nov 2025Schaumburg, IL
- Cetera Wealth Services, LLCApr 2026 – no end date reportedEl Segundo, CA
- Cetera Investment Advisers LLCApr 2026 – no end date reportedSchaumburg, IL
- UnemployedNov 2025 – Apr 2026Mount Pleasant, SC
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Cetera Investment Advisers LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Samantha Froggatt 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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