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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JOSEPH AUGUST FREDERICK

Advisor at PRIVATE ADVISOR GROUP, LLC

Blue Bell, PA | MORRISTOWN, NJ | CENTER VALLEY, PA | BLUE BELL, PA

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Search this name across graphsid dfx:ria:ae6f7bd8-b37e-67c1-a712-064f1bd58177

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 25, 2004 to Sep 15, 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: PRIVATE ADVISOR GROUP, 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: Mar 24, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 1
Exams: S66
First exam: Mar 24, 2004
First registration: Mar 25, 2004
Dual registered: yes, broker-dealer
Other names: JOSEPH AUGUST FREDERICK
IAPD individual key: 4676225

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
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Nov 14, 2012	n/a	yes	MORRISTOWN, NJ\|CENTER VALLEY, PA\|Blue Bell, PA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 16, 2008	n/a	yes	CENTER VALLEY, PA\|BLUE BELL, PA	Current employment
CAPITAL PLANNING WEALTH MANAGEMENT	State registered	Dec 18, 2012	Jan 26, 2024	no	CENTER VALLEY, PA\|CENTER VALLEY, PA	Previous registration
CINCINNATI ANALYSTS, INC	Former SEC adviser	Jul 11, 2008	Sep 17, 2008	no	HORSHAM, PA	Previous registration
WHARTON EQUITY CORPORATION	n/a	Aug 16, 2006	Oct 2, 2007	no	WAYNE, PA\|WAYNE, PA	Previous registration
HADDON STRATEGIC ALLIANCES, INC.	n/a	Oct 11, 2004	Jul 9, 2008	no	HADDONFILED, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 25, 2004	May 21, 2004	no	SOMERSET, NJ	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
CAPITAL PLANNING WEALTH MANAGEMENT	n/a	Jan 26, 2024	n/a	n/a	Departure no registered destination	Departure
CINCINNATI ANALYSTS, INC	LPL FINANCIAL LLC	Sep 17, 2008	Sep 16, 2008	-1	Firm change	Other
HADDON STRATEGIC ALLIANCES, INC.	WHARTON EQUITY CORPORATION	Jul 9, 2008	Aug 16, 2006	-693	Firm change after gap	Other
WHARTON EQUITY CORPORATION	CINCINNATI ANALYSTS, INC	Oct 2, 2007	Jul 11, 2008	283	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HADDON STRATEGIC ALLIANCES, INC.	May 21, 2004	Oct 11, 2004	143	Firm change	Other

Relationships

Registered with (7)

→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: current employment
Nov 14, 2012 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Sep 16, 2008 to presentfactForm ADV
→ CAPITAL PLANNING WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Dec 18, 2012 to Jan 26, 2024factForm ADV
→ CINCINNATI ANALYSTS, INCRegistered adviserregistration: previous registration
Jul 11, 2008 to Sep 17, 2008factForm ADV
→ HADDON STRATEGIC ALLIANCES, INC.Registered adviserregistration: previous registration
Oct 11, 2004 to Jul 9, 2008factForm ADV
→ WHARTON EQUITY CORPORATIONRegistered adviserregistration: previous registration
Aug 16, 2006 to Oct 2, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 25, 2004 to May 21, 2004factForm ADV

Dated events

Occurred
Jan 26, 2024
Advisor departed, no destination yet
Joseph August Frederick no longer registered at Capital Planning Wealth Management; no later IA registration on IAPD
Form ADVobserved 6 days ago