John FrickCRD Number: 2967029
Current Firm: Raymond James Financial Services Advisors, Inc.
John Frick (CRD# 2967029) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Lancaster, PA and has over 20 years of experience in the finance industry.
Northwestern Mutual Investment Services,llc
Kaufman Advisory Services, Inc.
Thrivent Investment Management Inc.
|Fulton Financial Advisors||Lancaster, PA||Sep 2017 - Current||< 1|
|Faa Core Strategies||Lancaster, PA||Jun 2012 - Current||5|
|Core Strategies||Lancaster, PA||Jan 2012 - Current||6|
|Raymond James Financial Services, Inc.||Lancaster, PA||Mar 2009 - Current||9|
|Raymond James Financial Services Advisors Inc.||Lancaster, PA||Mar 2009 - Current||9|
|Fulton Financial Corporation||Lancaster, PA||Mar 2009 - Current||9|
|Fulton Bank||Lancaster, PA||Jun 2010 - Jun 2010||< 1|
|Wachovia Securities, LLC||Lancaster, PA||Jun 2003 - Mar 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1998|
|S65||NASAA Investment Advisors Law Examination||Jan 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management81,239MILLIONS
Total Number of Accounts280,698ACCOUNTS
Average Account Value$289,416
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY