Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 63, Series 65
Experience Industry experience
15 years
Location
Poughkeepsie, NY 12601
B. Riley Wealth Advisors, Inc.
Multi-team
Alexander Frederick is a financial advisor with B. Riley Wealth Advisors, Inc. He holds Series 63 and Series 65 licenses and has 15 years of industry experience. Prior to joining B. Riley Wealth Advisors in 2022, he worked at National Asset Management and National Securities Corporation. Outside of his advisory role, he is a partner and business manager at Prime Wealth Management, LLC, where he provides income tax planning and preparation services. B. Riley Wealth Advisors, Inc. is an SEC-registered firm managing approximately $7.03 billion in client assets through 274 advisors. The firm serves individuals, high-net-worth clients, charitable organizations, corporations, and retirement plans, offering a range of advisory programs, financial planning, and retirement solutions.
Based on B. Riley Wealth Advisors, Inc.
Financial planning services may be billed on a flat fee basis as negotiated
$0 - $250,000: 2.50% to 2.75% $250,000 - $1,000,000: 2.25% to 2.50% $1,000,000+: 1.75% to 2.00%
Commission-based fees for brokerage services through affiliated broker-dealer BRWM
Financial planning services may be billed on an hourly basis as negotiated
Account minimum: $25,000 (negotiable depending on client household, relationship, type, and size of account) Minimum fee: Annual account fee typically $75, may vary based on administrative/transaction fee schedule Fee-only: Financial planning and consulting fees negotiated individually, may be flat fee or hourly rate
Poughkeepsie, NY Route 9 North
3344 Route 9 North
Poughkeepsie NY 12601
Advisors at this office
3
New York
15 years of industry experience
B. Riley Wealth Advisors, Inc.
2022 - Present • 4 years
Memphis, TN
B. Riley Wealth Management
2022 - Present • 4 years
Poughkeepsie, NY
National Asset Management
2019 - 2022 • 3 years
Poughkeepsie, NY
National Securities Corporation
2013 - 2022 • 9 years
Poughkeepsie, NY
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
CFP®, Series 63, Series 66
Clinton Corners, NY
Hudson Delaware Planning LLC
Brian Schmidt is a CFP® with 12 years of industry experience, currently serving as the sole advisor at Hudson Delaware Planning LLC. His prior roles include positions at Ameriprise Financial Services Inc and The Depository Trust & Clearing Corp. Outside of financial advising, he is involved with Redbud Farms LLC. Hudson Delaware Planning provides financial planning and consulting services to individuals, high-net-worth clients, and business entities through both ongoing and project-based engagements. The firm focuses on a planning-only model without discretionary portfolio management or custody, offering services that include retirement, tax, and estate planning, while clients retain full discretion over their implementation.
Series 63, Series 65
Stone Ridge, NY
Stone Ridge Advisors
Mark Stern is a financial advisor at Stone Ridge Advisors with 24 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Laurel Wealth Advisors and Integrated Wealth Concepts, LLC. Stone Ridge Advisors is an independent, SEC-registered solo-practitioner firm managing approximately $36.5 million for individual, high-net-worth, and institutional clients. The firm offers discretionary portfolio management, financial planning, and retirement plan consulting, employing proprietary blended investment models that integrate multiple analytical approaches and emphasize diversification, rebalancing, and a long-term investment horizon.
Series 63, Series 65
Staatsburg, NY
Bantam Inc.
John Duval Jr. is a financial advisor at Bantam Inc. with 13 years of industry experience. He holds Series 63 and Series 65 designations and has worked at Bantam Inc. since 2017 and at Accelerant LLC since 2004. In addition to his advisory work, he manages a securities litigation consulting firm where he serves as an expert witness. Bantam Inc. provides investment management and financial planning primarily to ultra-high-net-worth individuals, families, select institutional clients, and high-trajectory athletes. The firm employs a combination of fundamental, quantitative, technical, and macroeconomic analysis augmented by AI, offering services that include discretionary portfolio management, pension consulting, and tailored CFO services for athletes.
Series 65
Hopewell Junction, NY
Mountain View Strategic Wealth, LLC
John Morgan is a financial advisor at Mountain View Strategic Wealth, LLC with 11 years of industry experience. He has held positions at Sowell Management and Marshall & Sterling Wealth Advisors, Inc. before joining his current firm in 2018. Morgan holds a Series 65 designation. Mountain View Strategic Wealth provides wealth management and advisory services to individuals, trusts, estates, pension and profit-sharing plans, and other business entities. The firm uses a range of analysis methods and offers discretionary portfolio management and ongoing financial planning based on clients’ investment objectives, time horizon, and risk tolerance.
CFP®, ChFC®, Series 63
Lagrangeville, NY
Vanik Capital LLC
Michael Vanikiotis is a financial advisor at Vanik Capital LLC with CFP® and ChFC® designations and two years of industry experience. His prior work includes roles at Northwestern Mutual, Wells Fargo Clearing, and the Vanikiotis Group Restaurant Owners and Operators. Vanik Capital LLC provides investment management, comprehensive financial planning, and retirement plan consulting to individuals, pension and profit-sharing plans, charitable organizations, and businesses. The firm operates as a fee-only adviser with a client-specific investment approach that incorporates asset allocation, passive and active strategies, and ESG options, and it offers specialized pension and retirement-plan consulting services, including ERISA fiduciary roles and 3(38) investment management.
CFP®, Series 63, Series 65
New Paltz, NY
Huguenot Financial Planning
David Sterman is a CFP® professional with nine years of industry experience, currently operating as the sole advisor at Huguenot Financial Planning in New Paltz, NY. He has been associated with LPL Financial since 2016. In addition to his advisory work, Sterman contributes written content to industry publications and leads educational workshops and real-time planning sessions. Huguenot Financial Planning provides fee-only financial planning and periodic investment consultations to individuals, families, trusts, small businesses, pension, and charitable clients. The firm emphasizes a broadly diversified, long-term investment approach using Modern Portfolio Theory and Core + Satellite strategies, primarily with low-cost indexed vehicles tailored to client objectives and risk tolerance.
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