Fred A. Schluep
Professional summary
Fred Albert Schluep was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Fred is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Fred had worked at 6 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., CHRISTOPHER WEIL & COMPANY INC, JUDY & ROBINSON SECURITIES INC, ROSS PFAELZER & ASSOC. INC., CYPRES ROSS AND ASSOCIATES INC., BIRR WILSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 1988 - April 13, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 1988 - October 31, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 12, 1987 - April 4, 1988
JUDY & ROBINSON SECURITIES, INC
June 30, 1986 - May 2, 1987
ROSS, PFAELZER & ASSOC. INC.
December 13, 1983 - August 25, 1986
CYPRES, ROSS AND ASSOCIATES, INC.
May 12, 1981 - November 19, 1983
BIRR, WILSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/9/1981
Interest Rate Options ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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