Frederick W. Paige
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 William Paige JR, who also goes by Fred W Paige, Fred Paige, Frederick William Paige, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1983. Frederick had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 62, Series 6, Series 22, Series 53, Series 51, Series 4 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
May 29, 2015 - October 16, 2024
MONEY CONCEPTS CAPITAL CORP
May 27, 2015 - October 16, 2024
MONEY CONCEPTS CAPITAL CORP
December 14, 2012 - March 12, 2014
J.P. MORGAN SECURITIES LLC
December 14, 2012 - March 12, 2014
J.P. MORGAN SECURITIES LLC
November 13, 2009 - December 6, 2012
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - December 6, 2012
PNC WEALTH MANAGEMENT LLC
April 23, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 13, 1997 - November 13, 2009
NATCITY INVESTMENTS, INC.
December 11, 1996 - January 17, 1997
BOFA DISTRIBUTORS, INC.
June 1, 1996 - November 27, 1996
NATCITY INVESTMENTS, INC.
February 5, 1993 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
January 6, 1992 - February 4, 1993
LIBERTY INVESTMENT SERVICES, INC.
January 21, 1985 - April 22, 1986
BREWER SMITH SECURITIES CO.
April 11, 1983 - November 28, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
April 11, 1983 - November 28, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
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 62
Date: 9/11/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
