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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

KIRK ROY FRICKE

Advisor at CETERA INVESTMENT ADVISERS LLC

PLANO, TX

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Search this name across graphsid dfx:ria:7940df86-c18c-a62d-ed15-7e94da9713bc

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Apr 28, 2009 to Sep 18, 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: CETERA INVESTMENT ADVISERS 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: Apr 17, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Apr 17, 2004
First registration: Apr 28, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 2573004

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 14, 2026	n/a	yes	PLANO, TX	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 14, 2026	n/a	yes	PLANO, TX	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	May 29, 2025	n/a	yes	DALLAS, TX	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	May 29, 2025	Sep 17, 2026	no	DALLAS, TX	Previous registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.	Independent wealth	Jul 20, 2018	Aug 23, 2022	no	NEW ORLEANS, LA	Previous registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.	Independent wealth	Jul 20, 2018	Aug 23, 2022	no	NEW ORLEANS, LA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 21, 2013	Jul 12, 2018	no	LYNNWOOD, WA\|TUKWILA, WA\|BELLEVUE, WA\|SEATTLE, WA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 21, 2013	Jul 12, 2018	no	LYNNWOOD, WA\|TUKWILA, WA\|BELLEVUE, WA\|SEATTLE, WA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Feb 22, 2013	no	SEATTLE, WA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	SEATTLE, WA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	SEATTLE, WA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Apr 28, 2009	May 2, 2009	no	SEATTLE, WA\|SEATTLE, WA	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
HILLTOP SECURITIES INC.	CETERA INVESTMENT ADVISERS LLC	Sep 17, 2026	Sep 14, 2026	-3	Firm change	Ibd to ibd
HANCOCK WHITNEY INVESTMENT SERVICES INC.	HILLTOP SECURITIES INC.	Aug 23, 2022	May 29, 2025	1,010	Firm change after gap	Ibd to ibd
STRATEGIC ADVISERS LLC	HANCOCK WHITNEY INVESTMENT SERVICES INC.	Jul 12, 2018	Jul 20, 2018	8	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	STRATEGIC ADVISERS LLC	Feb 22, 2013	Mar 21, 2013	27	Firm change	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ HILLTOP SECURITIES INC.Registered adviserregistration: current employment
May 29, 2025 to presentfactForm ADV
→ HANCOCK WHITNEY INVESTMENT SERVICES INC.Registered adviserregistration: previous registration
Jul 20, 2018 to Aug 23, 2022factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 21, 2013 to Jul 12, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Feb 22, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Apr 28, 2009 to May 2, 2009factForm ADV

Dated events

Occurred
Sep 17, 2026
Advisor changed firm
Kirk Roy Fricke left Hilltop Securities Inc. for Cetera Investment Advisers LLC (registered 2026-09-14)
Form ADVobserved yesterday
Occurred
Aug 23, 2022
Advisor changed firm
Kirk Roy Fricke left Hancock Whitney Investment Services Inc. for Hilltop Securities Inc. (registered 2025-05-29)
Form ADVobserved 4 days ago