Frederic O. Buckley
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.
Frederic Owen Buckley, who also goes by Fred O Buckley, was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1982. Frederic had worked at 6 firms and has passed the Series 63, SIE, Series 72, Series 52, Series 62, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2025 - April 6, 2026
KESTRA ADVISORY SERVICES, LLC
May 27, 2020 - August 11, 2025
COMMONWEALTH FINANCIAL NETWORK
May 27, 2020 - March 31, 2022
COMMONWEALTH FINANCIAL NETWORK
November 21, 2000 - May 27, 2020
SECURITIES AMERICA ADVISORS, INC.
April 23, 1996 - May 27, 2020
SECURITIES AMERICA, INC.
April 19, 1990 - May 1, 1996
CARILLON INVESTMENTS, INC.
November 2, 1982 - April 20, 1990
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 72
Date: 3/21/2003
Government Securities Representative ExaminationSeries 62
Date: 4/28/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
