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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

MICHAEL JOHN FREDI

Advisor at CETERA INVESTMENT ADVISERS LLC

MEMPHIS, TN | SOUTHAVEN, MS

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Search this name across graphsid dfx:ria:e40efd4f-47c4-9a2e-5022-16bfc63133fb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 8, 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: 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 25, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Apr 25, 1994
First registration: Jan 8, 2004
Dual registered: yes, broker-dealer
Other names: MIKE FREDI
IAPD individual key: 2477928

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	Nov 13, 2025	n/a	yes	MEMPHIS, TN\|SOUTHAVEN, MS	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 2, 2015	Mar 12, 2024	no	MEMPHIS, TN\|SOUTHAVEN, MS	Previous registration
FIRST HORIZON ADVISORS, INC	Former SEC adviser	Oct 10, 2013	Sep 8, 2014	no	MEMPHIS, TN\|MEMPHIS, TN	Previous registration
FIRST TENNESSEE ADVISORY SERVICES, INC.	Former SEC adviser	Oct 25, 2012	Oct 10, 2013	no	MEMPHIS, TN	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Nov 14, 2008	Nov 9, 2012	no	SAN ANTONIO, TX\|SOUTHHAVEN, MS\|OLIVE BRANCH, MS\|SOUTHAVEN, MS	Previous registration
FIRST HORIZON ADVISORS, INC	Former SEC adviser	Aug 17, 2005	Nov 3, 2008	no	MEMPHIS, TN\|MEMPHIS, TN	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Mar 30, 2004	Aug 15, 2005	no	MEMPHIS, TN	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 8, 2004	Jan 27, 2004	no	MEMPHIS, TN	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
FIRST HORIZON ADVISORS, INC	CETERA INVESTMENT ADVISERS LLC	Sep 8, 2014	Jun 2, 2015	267	Firm change	Other
FIRST TENNESSEE ADVISORY SERVICES, INC.	FIRST HORIZON ADVISORS, INC	Oct 10, 2013	Oct 10, 2013	0	Firm change	Other
INVESTMENT PROFESSIONALS, INC.	FIRST TENNESSEE ADVISORY SERVICES, INC.	Nov 9, 2012	Oct 25, 2012	-15	Firm change	Other
FIRST HORIZON ADVISORS, INC	INVESTMENT PROFESSIONALS, INC.	Nov 3, 2008	Nov 14, 2008	11	Firm change	Other
B RILEY WEALTH MANAGEMENT	FIRST HORIZON ADVISORS, INC	Aug 15, 2005	Aug 17, 2005	2	Firm change	Other
MORGAN STANLEY DW INC.	B RILEY WEALTH MANAGEMENT	Jan 27, 2004	Mar 30, 2004	63	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 2, 2015 to Mar 12, 2024factForm ADV
→ FIRST HORIZON ADVISORS, INCRegistered adviserregistration: previous registration
Oct 10, 2013 to Sep 8, 2014factForm ADV
→ FIRST TENNESSEE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Oct 25, 2012 to Oct 10, 2013factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Nov 14, 2008 to Nov 9, 2012factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 30, 2004 to Aug 15, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 8, 2004 to Jan 27, 2004factForm ADV

Dated events

No dated event names this entity yet.