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FREDRICK THOMAS WOLLMAN
FREDRICK T WOLLMAN
CRD#: 719555
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 144 SOUTH GRAPE ST
ESCONDIDO, CA 92025
CETERA ADVISOR NETWORKS LLCCRD#: 13572 144 SOUTH GRAPE ST
ESCONDIDO, CA 92025
Registration History
19801985199019952000200520102015202020252 FIRMS2000 - 2005 (5 years)2 FIRMS2005 - 2021 (15 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - Present (3 years)BSTEPHEN A. KOHN & ASSOCIATES, LTD. (CRD# 41067)1996 - 1999 (3 years)BKOHN, HEBERT & ASSOCIATES, LTD. (CRD# 31084)1994 - 1996 (2 years)BU.S. SECURITIES CLEARING CORP. (CRD# 15403)1991 - 1994 (3 years)BTITAN/VALUE EQUITIES GROUP, INC. (CRD# 6359)1989 - 1990 (1 year)BMESA SECURITIES CORPORATION (CRD# 15206)1986 - 1990 (4 years)BSUN INVESTMENT SERVICES COMPANY (CRD# 5496)1987 - 1988 (1 year)BTITAN CAPITAL CORPORATION (CRD# 6359)1981 - 1985 (4 years)BUNIVERSITY SECURITIES CORPORATION (CRD# 6518)1980 - 1981 (<1 year)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - 2023 (2 years)
Disclosure(s)
View By:
7/22/2011
Customer Dispute
Settled
4/27/1990
Customer Dispute
Settled
4/13/1990
Regulatory
Final
12/1/1984
Customer Dispute
Settled
1/1/1983
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 6/30/2021

B
Ohio 6/9/2021

B
Arizona 6/9/2021

B
Oklahoma 9/8/2022

B
California 6/9/2021

B
Oregon 6/9/2021

IA
California 6/29/2023

B
Pennsylvania 6/9/2021

B
Colorado 6/9/2021

B
Tennessee 6/9/2021

B
Florida 6/11/2021

B
Texas 6/9/2021

B
Idaho 6/9/2021

IA
Texas 6/29/2023

B
Maryland 6/9/2021

B
Utah 6/9/2021

B
Minnesota 6/9/2021

B
Virginia 6/9/2021

B
North Carolina 6/9/2021

B
Washington 6/9/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
144 SOUTH GRAPE ST, ESCONDIDO, CA 92025
Registered with this firm since 6/29/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
144 SOUTH GRAPE ST, ESCONDIDO, CA 92025
VALLEY CENTER, CA
Registered with this firm since 6/9/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/09/2021 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
11/01/2005 - 06/09/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) ESCONDIDO, CA
B
10/14/2005 - 06/09/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) ESCONDIDO, CA
IA
03/09/2000 - 10/14/2005 INTERSECURITIES, INC. (CRD#:16164) ESCONDIDO, CA
B
01/12/2000 - 10/14/2005 INTERSECURITIES, INC. (CRD#:16164) PHILADELPHIA, PA
B
09/20/1996 - 12/20/1999 STEPHEN A. KOHN & ASSOCIATES, LTD. (CRD#:41067) LUTZ, FL
B
08/26/1994 - 09/13/1996 KOHN, HEBERT & ASSOCIATES, LTD. (CRD#:31084)
B
05/13/1991 - 07/29/1994 U.S. SECURITIES CLEARING CORP. (CRD#:15403)
FINRA expelled the firm on 11/14/1994
SAN DIEGO, CA
B
12/22/1989 - 12/20/1990 TITAN/VALUE EQUITIES GROUP, INC. (CRD#:6359) IRVINE, CA
B
01/08/1986 - 01/16/1990 MESA SECURITIES CORPORATION (CRD#:15206)
B
01/28/1987 - 03/31/1988 SUN INVESTMENT SERVICES COMPANY (CRD#:5496)
B
05/13/1981 - 12/09/1985 TITAN CAPITAL CORPORATION (CRD#:6359)
B
11/25/1980 - 06/12/1981 UNIVERSITY SECURITIES CORPORATION (CRD#:6518)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.