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Steven Fredricks

Chief Compliance Officer and Chief Legal Officer at Madison Investment Advisors

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Steven Fredricks is Chief Compliance Officer and Chief Legal Officer of Madison Investment Advisors, LLC, a Madison investment adviser managing $13.8B. Steven Fredricks has passed the Series 7, Series 63, Series 65 and SIE.

Role at Madison Investment Advisors

Title on Schedule A
Chief Compliance Officer and Chief Legal Officer
Control
Steven Fredricks is a control person of Madison Investment Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Steven Fredricks has held the filed role since May 2018.

The firm

Madison Investment Advisors, LLC
Madison, WI

Form ADV filed 20 March 2026

$13.8B AUM16,164 clients44 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2016
  2. Passed Series 65 · 2000
  3. Passed Series 7 and Series 63 · 1997

Registrations and exams

No current adviser or broker registration. Steven Fredricks has passed 4 qualifying exams.

Examinations

Series 6517 July 2000
Name
Uniform Investment Adviser Law Examination
Series 6319 December 1997
Name
Uniform Securities Agent State Law Examination
SIE3 November 2016
Name
Securities Industry Essentials Examination
Series 74 December 1997
Name
General Securities Representative Examination

Individual record

Full name
Steven Joseph Fredricks
CRD
2979708
Firm
Madison Investment Advisors, LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Steven Fredricks work?

Steven Fredricks has been Chief Compliance Officer and Chief Legal Officer of Madison Investment Advisors, LLC since May 2018, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 20 March 2026

Does Steven Fredricks have a current investment-adviser registration?

Steven Fredricks has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Steven Fredricks passed?

Steven Fredricks has passed 4 licensing exams: the Series 7, Series 63, Series 65 and SIE. The earliest, the Series 7, was passed in December 1997.

Source: IAPD individual record, checked 17 October 2026

Leadership at Madison Investment Advisors

  • Mark Henrickson
    Chief Financial Officer
  • Steven Carl
    Chief Distribution Officer, Chairman of the Executive Committee
  • Richard Eisinger
    Head of Equities, Portfolio Manager
  • Jill Friedow
    Head of Operations and Chief Technology Officer
  • Patrick Ryan
    Head of Multi-Asset Solutions, Portfolio Manager
  • Michael Sanders
    Head of Fixed Income, Portfolio Manager
  • Haruki Toyama
    Head of Mid Cap & Large Cap Equity, Portfolio Manager

Sources

  1. IAPD individual record, CRD 2979708. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Madison Investment Advisors, LLC, filed 20 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

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This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Steven Fredricks or Madison Investment Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.