Frederick Fogarty has been President/Chief Compliance Officer of Fogarty Wealth Management since May 2016, is a control person of the firm and directly owns 75% or more of it.
Fogarty Wealth Management, Inc. is a Missouri City, TX firm with $135M under management, 150 clients and 1 adviser across 2 offices, as of its March 2026 filing.
Frederick Fogarty’s longest registration was 11 years at Next Financial Group, Inc. (2007–2019). Before joining Fogarty Wealth Management in 2016, Frederick Fogarty was registered through Next Financial Group, Inc. and Intersecurities, Inc.
- – present · 10 yearsMissouri City, TX · Adviser representative · Firm CRD 283998
- Next Financial Group, Inc.– · 11 yearsMissouri City, TX · Adviser representative · Firm CRD 46214
- Intersecurities, Inc.– · 4 yearsHouston, TX · Adviser representative · Firm CRD 16164
Investment adviser representative registrations
Frederick Fogarty is registered as an investment adviser representative in 2 states. The first approvals date from July 2016; the most recent is Louisiana, in August 2016.
- LouisianaSince 2 August 2016
- TexasSince 28 July 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 8 June 2001 |
| Series 7 | General Securities Representative Examination | 4 May 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Frederick Charles Fogarty
- CRD
- 4341136
- Firm
- Fogarty Wealth Management · CRD 283998
- Role
- President/Chief Compliance Officer
- Office
- 4501 CARTWRIGHT ROAD,, SUITE 101, Missouri City, TX 77459
- Registration
- Investment adviser registration
- In the industry since
- May 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Frederick Fogarty work?
Frederick Fogarty has been President/Chief Compliance Officer of Fogarty Wealth Management, Inc. since May 2016, and is a control person of the firm.
Is Frederick Fogarty a financial advisor?
Yes. Frederick Fogarty has a current investment-adviser registration in Louisiana and Texas, through Fogarty Wealth Management since July 2016.
How many years of experience does Frederick Fogarty have?
Frederick Fogarty has 25 years in the financial industry, since May 2001, across 3 adviser firms.
What exams has Frederick Fogarty passed?
Frederick Fogarty has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in May 2001. FINRA credited Frederick Fogarty with the SIE, which began in October 2018.
Where did Frederick Fogarty work before Fogarty Wealth Management?
Before Fogarty Wealth Management, Frederick Fogarty was registered through Intersecurities, Inc., December 2001 to June 2006.
Where is Frederick Fogarty based?
Frederick Fogarty’s registered office is in Missouri City, TX.
Is Frederick Fogarty registered with FINRA?
No. Frederick Fogarty has no current broker registration.
How can I verify Frederick Fogarty’s record?
Search CRD 4341136 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Frederick Fogarty’s full registration record.