Frederic Wachtel has been an investment adviser representative at Prosperitas Financial since August 2021, and is not listed among the firm’s executive officers or direct owners. Frederic Wachtel studied at the University at Albany.
Prosperitas Financial, LLC is a Valencia, CA firm with $812M under management, 2,138 clients and 23 advisers across 2 offices, as of its September 2026 filing.
Fred M. Wachtel is Financial Advisor of Prosperitas Financial. He began his career in 2005 with Morgan Stanley and moved to Wells Fargo Advisors in 2016 before establishing his own practice through Prosperitas Financial. He works with the firm's internal team on custom asset allocation models built in-house and integrates annuities, life insurance and long-term care into the portfolios he builds.
Frederic Wachtel’s longest registration was 7 years at Morgan Stanley (2009–2016). Before joining Prosperitas Financial in 2021, Frederic Wachtel was registered through Next Financial Group, Inc. and Wells Fargo Clearing Services, LLC.
- Prosperitas Financial, LLCCurrent– present · 5 yearsValencia, CA · Adviser representative · Firm CRD 315768
- Next Financial Group, Inc.– · 1 yearValencia, CA · Adviser representative · Firm CRD 46214
- Wells Fargo Clearing Services, LLC– · 3 yearsValencia, CA · Adviser representative · Firm CRD 19616
- Morgan Stanley– · 7 yearsValencia, CA · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsValencia, CA · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 1 yearValencia, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Frederic Wachtel is registered as an investment adviser representative in California, since August 2021.
- CaliforniaSince 30 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 20 September 2005 |
| Series 66 | Uniform Combined State Law Examination | 1 September 2005 |
| Series 7 | General Securities Representative Examination | 3 August 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Frederic Matthew Wachtel
- CRD
- 4996873
- Firm
- Prosperitas Financial · CRD 315768
- Office
- 25060 AVENUE STANFORD, SUITE 100, Valencia, CA 91355
- Registration
- Investment adviser registration
- In the industry since
- August 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- prosperitasfin.com
Where does Frederic Wachtel work?
Frederic Wachtel is an investment adviser representative registered through Prosperitas Financial, LLC since August 2021, and is not listed among the firm’s executive officers or direct owners.
Is Frederic Wachtel a financial advisor?
Yes. Frederic Wachtel has a current investment-adviser registration in California, through Prosperitas Financial since August 2021.
How many years of experience does Frederic Wachtel have?
Frederic Wachtel has 21 years in the financial industry, since August 2005, across 6 adviser firms.
What exams has Frederic Wachtel passed?
Frederic Wachtel has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in August 2005. FINRA credited Frederic Wachtel with the SIE, which began in October 2018.
Where did Frederic Wachtel work before Prosperitas Financial?
Before Prosperitas Financial, Frederic Wachtel was registered through Wells Fargo Clearing Services, LLC, August 2016 to July 2020; Morgan Stanley, June 2009 to September 2016; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, September 2005 to April 2007.
Where is Frederic Wachtel based?
Frederic Wachtel’s registered office is in Valencia, CA.
Is Frederic Wachtel registered with FINRA?
No. Frederic Wachtel has no current broker registration.
How can I verify Frederic Wachtel’s record?
Search CRD 4996873 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Frederic Wachtel’s full registration record.
