Fred E. Gifford
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 Edwin Gifford was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1982. Fred had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2016 - June 30, 2026
EQUITY INVESTMENT CORP
January 19, 2012 - October 30, 2017
JFB HOLDINGS CORP
June 8, 2011 - June 30, 2026
FORESIDE FUNDS DISTRIBUTORS LLC
April 11, 2007 - March 10, 2011
OPTIQUE CAPITAL MANAGEMENT, INC.
October 20, 2003 - February 11, 2011
FORESIDE FUND SERVICES, LLC
May 9, 2002 - June 5, 2002
LEVCO SECURITIES, INC.
January 15, 1992 - July 25, 2000
CALAMOS FINANCIAL SERVICES LLC
December 6, 1991 - January 8, 1992
FIRST TRUST PORTFOLIOS L.P.
November 3, 1988 - October 1, 1991
CLAYTON BROWN & ASSOCIATES, INC.
October 4, 1982 - February 27, 1988
CLAYTON BROWN & ASSOCIATES, INC.
Primary Firm SEC Registration
EQUITY INVESTMENT CORP
CRD#: 283930 / SEC#: 801-107945
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
Current Firm
EQUITY INVESTMENT CORP
CRD#: 283930 / SEC#: 801-107945
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,761 |
| AUM (Assets Under Management) | $ 3,509,589,101 |
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.
