Frederick L. Mirbach
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 L Mirbach JR, who also goes by Frederick L Mirbach Jr., Frederick L Mirbach, Frederick Louis Mirbach Jr, Frederick Louis Mirbach Jr., Frederick Louis Mirbach, Frederick L Mirbach Jr, Frederick L Mirbach Jr., was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1983. Frederick had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2016 - October 25, 2018
INVESTSHARES
February 11, 2015 - June 6, 2016
COREBRIDGE CAPITAL SERVICES, INC.
September 11, 2012 - January 8, 2015
DESTRA CAPITAL INVESTMENTS LLC
October 20, 2010 - May 17, 2011
ZACKS INVESTMENT MANAGEMENT, INC.
October 7, 2010 - May 17, 2011
LBMZ SECURITIES, INC.
May 6, 2010 - October 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2010 - October 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 2006 - January 4, 2010
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 17, 2006 - August 23, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
May 27, 2005 - February 21, 2006
COMERICA SECURITIES
May 27, 2005 - February 21, 2006
COMERICA SECURITIES
April 9, 1992 - June 17, 2005
UBS FINANCIAL SERVICES INC.
March 13, 1992 - March 27, 1992
UBS FINANCIAL SERVICES INC.
April 11, 1988 - March 30, 1992
LEHMAN BROTHERS INC.
February 28, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
July 21, 1983 - January 27, 1984
KIDDER, PEABODY & CO. INCORPORATED
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 8
Date: 5/28/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVESTSHARES
CRD#: 151369 / SEC#: , 8-68365
Contact information
Documents
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.
