DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Frederick LeMont Freeman

Advisor at ADVICE AND PLANNING SERVICES

Durham, NC

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:9424638d-367a-2623-9fdb-802af97d412e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Dec 19, 2008 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: ADVICE AND PLANNING SERVICES
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: Dec 18, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 18, 2008
First registration: Dec 19, 2008
Dual registered: yes, broker-dealer
Other names: Frederick Freeman|FREDERICK LEMONT FREEMAN|FREDERICK L FREEMAN|Frederick L Freeeman|Frederick LeMont Freeeman
IAPD individual key: 5509926

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
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Mar 1, 2023	n/a	yes	Durham, NC\|Durham, NC	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 14, 2022	Feb 21, 2023	no	CHAPEL HILL, NC	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Sep 28, 2021	Mar 24, 2022	no	DURHAM, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 30, 2020	Jul 29, 2021	no	CHAPEL HILL, NC	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jul 8, 2016	Nov 6, 2020	no	Durham, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 14, 2012	Jun 23, 2016	no	RALEIGH, NC\|CHARLOTTE, NC\|RALEIGH, NC\|DURHAM, NC\|RALEIGH, NC\|RALEIGH, NC\|RALEIGH, NC\|DURHAM, NC\|RALEIGH, NC	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 6, 2010	Jan 19, 2012	no	RALEIGH, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 19, 2008	Jun 29, 2010	no	DURHAM, NC	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Feb 21, 2023	Mar 1, 2023	8	Firm change	Wirehouse to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 24, 2022	Sep 14, 2022	174	Firm change	Ibd to wirehouse
WELLS FARGO ADVISORS	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 29, 2021	Sep 28, 2021	61	Firm change	Wirehouse to ibd
ADVICE AND PLANNING SERVICES	WELLS FARGO ADVISORS	Nov 6, 2020	Nov 30, 2020	24	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Jun 23, 2016	Jul 8, 2016	15	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 19, 2012	Aug 14, 2012	208	Firm change	Other
WELLS FARGO ADVISORS	MSI FINANCIAL SERVICES, INC.	Jun 29, 2010	Aug 6, 2010	38	Firm change	Other

Relationships

Registered with (5)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jul 8, 2016 to Nov 6, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 14, 2022 to Feb 21, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Sep 28, 2021 to Mar 24, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 30, 2020 to Jul 29, 2021factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 6, 2010 to Jan 19, 2012factForm ADV

Dated events

Occurred
Feb 21, 2023
Advisor changed firm
Frederick Lemont Freeman left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Advice And Planning Services (registered 2023-03-01)
Form ADVobserved 3 days ago
Occurred
Mar 24, 2022
Advisor changed firm
Frederick Lemont Freeman left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-09-14)
Form ADVobserved 3 days ago