Frederick F. Kramer
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.
Frederick Franklin Kramer IV, who also goes by Frederick Franklin Kramer, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1983. Frederick had worked at 2 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - June 2, 2022
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
March 24, 2004 - December 31, 2016
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
January 19, 1983 - November 14, 1996
PRUDENTIAL EQUITY GROUP, 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
Current Firm
DIXON HUGHES GOODMAN WEALTH ADVISORS LLC
CRD#: 109279 / SEC#: 801-58035
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,168 |
| AUM (Assets Under Management) | $ 2,206,001,630 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2021 |
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.
