Fred H. Leder
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 Harvey Leder, who also goes by Fred H Leder, Fred M Ledger, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1983. Fred had worked at 5 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 1991 - February 11, 1993
TUCKER ANTHONY INCORPORATED
October 14, 1989 - February 27, 1991
GMS GROUP
July 7, 1986 - September 7, 1989
TUCKER ANTHONY INCORPORATED
June 14, 1984 - June 3, 1986
LISS TENNER & GOLDBERG SECURITIES CORPORATION
October 7, 1983 - February 21, 1984
BURGESS & LEITH INCORPORATED
June 3, 1983 - September 14, 1983
DAVID LERNER ASSOCIATES, INC.
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
TUCKER ANTHONY INCORPORATED
CRD#: 837 / SEC#: , 8-19301
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
| Arbitration | 9 |
| Bond | 5 |
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.
