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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)26 years in industry

MICHAEL James FREDERICK

Advisor at LPL FINANCIAL LLC

COLLEGEVILLE, PA

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Search this name across graphsid dfx:ria:03de04e2-6116-8808-bbf8-e3a38b5c6295

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 16, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S66
First exam: Nov 16, 1999
First registration: Feb 16, 2000
Dual registered: yes, broker-dealer
Other names: MICHAEL J FREDERICK|MICHAEL J. FREDERICK
IAPD individual key: 4001792

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2026	n/a	yes	COLLEGEVILLE, PA	Current employment
ALDEN CAPITAL	Independent wealth	Jun 30, 2020	May 19, 2026	no	Collegeville, PA	Previous registration
ALDEN CAPITAL	Independent wealth	Jun 8, 2020	Jun 16, 2020	no	WAYNE, PA	Previous registration
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Dec 3, 2018	Jul 1, 2020	no	Exton, PA\|ATLANTA, GA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 31, 2016	Dec 5, 2018	no	RADNOR, PA\|COLLEGEVILLE, PA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 16, 2000	Jan 29, 2005	no	WAYNE, PA\|WAYNE, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALDEN CAPITAL	LPL FINANCIAL LLC	May 19, 2026	May 18, 2026	-1	Firm change	RIA to ibd
OSAIC ADVISORY SERVICES, LLC	ALDEN CAPITAL	Jul 1, 2020	Jun 8, 2020	-23	Firm change	Ibd to RIA
WELLS FARGO ADVISORS	OSAIC ADVISORY SERVICES, LLC	Dec 5, 2018	Dec 3, 2018	-2	Firm change	Wirehouse to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jan 29, 2005	Aug 31, 2016	4,232	Firm change after gap	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
293551:6413:PA:2026-05-19	May 19, 2026	May 18, 2026	COLLEGEVILLE, PA	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 18, 2026 to presentfactForm ADV
→ ALDEN CAPITALRegistered adviserregistration: previous registration
Jun 30, 2020 to May 19, 2026factForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Dec 3, 2018 to Jul 1, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 31, 2016 to Dec 5, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 16, 2000 to Jan 29, 2005factForm ADV

Dated events

Occurred
May 19, 2026
Advisor changed firm
Michael James Frederick left Alden Capital for Lpl Financial Llc (registered 2026-05-18)
Form ADVobserved 4 days ago