Frederic W. Browning
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.
Frederic William Hoanuili Browning was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1984. Frederic had worked at 4 firms and has passed the Series 63 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
April 17, 1985 - July 15, 1985
THE STUART-JAMES COMPANY, INCORPORATED
August 9, 1984 - April 15, 1985
BLINDER, ROBINSON & CO., INC.
April 13, 1984 - August 8, 1984
ADVANTAGE CAPITAL CORPORATION
February 24, 1984 - June 18, 1984
USLIFE EQUITY SALES CORP.
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
THE STUART-JAMES COMPANY, INCORPORATED
CRD#: 11691 / SEC#: , 8-26610
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.
