DFX Intelligence

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RIA / WealthAdvisor24 years in industry

MARK T FREDERICK

Advisor at STACKSTONE WEALTH, LLC

DUBUQUE, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e867999-e8d7-448c-efb6-b10d7269a547

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2009 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: STACKSTONE WEALTH, LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 4, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Apr 4, 2002
First registration: Jan 30, 2009
Dual registered: no
IAPD individual key: 4500276

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
STACKSTONE WEALTH, LLC	No RAUM reported	Jun 24, 2026	n/a	yes	DUBUQUE, IA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 5, 2014	Jul 7, 2026	no	Kalispell, MT\|Dubuque, IA\|Dubuque, IA\|Cuba City, WI	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Oct 13, 2011	Dec 9, 2014	no	Dubuque, IA\|DUBUQUE, IA\|GALENA, IL\|Dubuque, IA\|GALENA, IL\|GALENA, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 30, 2009	Nov 7, 2011	no	LANCASTER, WI\|PLATTEVILLE, WI\|SAN DIEGO, CA\|GALENA, IL	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
AMERIPRISE FINANCIAL SERVICES, LLC	STACKSTONE WEALTH, LLC	Jul 7, 2026	Jun 24, 2026	-13	Firm change	Ibd to new firm
U.S. BANCORP INVESTMENTS, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 9, 2014	Dec 5, 2014	-4	Firm change	Other
LPL FINANCIAL LLC	U.S. BANCORP INVESTMENTS, INC.	Nov 7, 2011	Oct 13, 2011	-25	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
6363:342692:WI:2026-06-26	Jul 7, 2026	Jun 24, 2026	CUBA CITY, WI	Firm change

Relationships

Registered with (4)

→ STACKSTONE WEALTH, LLCRegistered adviserregistration: current employment
Jun 24, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 5, 2014 to Jul 7, 2026factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Oct 13, 2011 to Dec 9, 2014factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 30, 2009 to Nov 7, 2011factForm ADV

Dated events

Occurred
Jul 7, 2026
Advisor changed firm
Mark T Frederick left Ameriprise Financial Services, Llc for Stackstone Wealth, Llc (registered 2026-06-24)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e867999-e8d7-448c-efb6-b10d7269a547
First observed: Jan 30, 2009
Last observed: Sep 14, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MARK T FREDERICK

Advisor at STACKSTONE WEALTH, LLC

DUBUQUE, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6e867999-e8d7-448c-efb6-b10d7269a547

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:11 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

STACKSTONE WEALTH, LLC

No RAUM reported

Jun 24, 2026

n/a

yes

DUBUQUE, IA

Current employment

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Dec 5, 2014

Jul 7, 2026

Kalispell, MT|Dubuque, IA|Dubuque, IA|Cuba City, WI

Previous registration

U.S. BANCORP INVESTMENTS, INC.

Former SEC adviser

Oct 13, 2011

Dec 9, 2014

Previous registration

LPL FINANCIAL LLC

Bd affiliated wealth

Jan 30, 2009

Nov 7, 2011

LANCASTER, WI|PLATTEVILLE, WI|SAN DIEGO, CA|GALENA, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

AMERIPRISE FINANCIAL SERVICES, LLC

STACKSTONE WEALTH, LLC

Jul 7, 2026

Jun 24, 2026

-13

Firm change

Ibd to new firm

U.S. BANCORP INVESTMENTS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Dec 9, 2014

Dec 5, 2014

-4

Firm change

Other

LPL FINANCIAL LLC

U.S. BANCORP INVESTMENTS, INC.

Nov 7, 2011

Oct 13, 2011

-25

Firm change

Other

Team

Left

Joined

From

Kind

6363:342692:WI:2026-06-26

Jul 7, 2026

Jun 24, 2026

CUBA CITY, WI

Firm change