Ed Fredericks: Equitable Advisor Faces Trading Complaint

Milford, Connecticut financial advisor Ed Fredericks (CRD# 2202730) allegedly made unauthorized and unsuitable trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Equitable Advisors.

Mr. Fredericks’ BrokerCheck report discloses three investor complaints. The most recent, field in March 2025, alleges that as a representative of Equitable Advisors, he made unsuitable investment recommendations and conducted unauthorized trades in the customers’ retirement accounts. The pending complaint alleges unspecified damages estimated to exceed $5,000.

An earlier investor complaint, filed in 2018, alleged that as a representative of AXA Advisors, he sold an unsuitable annuity. The complaint alleged unspecified damages and was denied by the firm.

A third investor complaint, also filed in 2018, alleged that he made misrepresentations in connection with variable annuity investments. The complaint alleged damages of $171,000 and was denied by the firm.

Equitable Advisors’ website includes a page describing the firm’s mission and principles. “We strive to be a force for good, for each client and the communities we serve,” it explains. “We have a passion for our business and truly believe in our commitment to exceptional outcomes. We work to the highest standards with unwavering loyalty to our clients, our cause and each other. We are a trusted professional to our clients and work to build that trust over time, every time. We treat everyone with respect and dignity because it’s the right thing to do.”

According to the Financial Industry Regulatory Authority, Ed Fredericks holds 33 years of securities industry experience. Based in Milford, Connecticut, he has been registered as a broker and an investment advisor with Equitable Advisors since 2005. His registration history includes MONY Securities Corporation (1996-2005), Trusted Securities Advisors (2001-2003), and MetLife Securities (1992-1996). His credentials include the passage of six securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; and the Investment Company Products/Variable Contracts Principal Examination, or Series 26. He holds 41 state licenses. (Information current as of April 19, 2025.)

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