Fred L. Socoloff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Fred L Socoloff, who also goes by Fred Louis Socoloff, Fred Socoloff, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1982. Fred had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2011 - October 1, 2021
VANGUARD MARKETING CORPORATION
July 19, 2010 - January 28, 2011
STONE & YOUNGBERG LLC
July 19, 2010 - January 28, 2011
STONE & YOUNGBERG LLC
April 25, 2007 - July 9, 2010
NEW ENGLAND SECURITIES
March 30, 2007 - July 9, 2010
NEW ENGLAND SECURITIES
January 11, 2005 - April 2, 2007
MML INVESTORS SERVICES, LLC
November 15, 2004 - April 2, 2007
MML INVESTORS SERVICES, LLC
June 27, 2003 - December 7, 2004
ADVEST, INC.
November 13, 2000 - June 9, 2003
R.W.PRESSPRICH & CO.
July 28, 1994 - November 27, 2000
PRUDENTIAL EQUITY GROUP, LLC
March 25, 1982 - July 29, 1994
J.P. MORGAN SECURITIES LLC
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 7TO
Date: 7/12/2022
General Securities Representative ExaminationSeries 8
Date: 12/30/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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