Frederick A. Bieber
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 Allan Bieber, who also goes by Fred Bieber, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1984. Frederick had worked at 8 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
August 1, 2008 - May 5, 2011
PACIFIC WEST SECURITIES, INC.
August 31, 2001 - August 1, 2008
KMS FINANCIAL SERVICES, INC.
August 29, 2000 - September 10, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 12, 1999 - August 23, 2000
WS GRIFFITH SECURITIES, INC.
April 10, 1997 - March 18, 1999
OSAIC WEALTH, INC.
June 6, 1995 - April 9, 1997
MML INVESTORS SERVICES, LLC
April 4, 1992 - March 16, 1995
SENTRA SECURITIES CORPORATION
August 9, 1984 - April 2, 1991
NYLIFE SECURITIES 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
PACIFIC WEST SECURITIES, INC.
CRD#: 6390 / SEC#: , 8-17377
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C. | 100% SHAREHOLDER/HOLDING CO. | |
| FORD, SHANON LANE | DIRECTOR, PRESIDENT | 4151684 |
| FORD, SHANON LANE | SECRETARY/TREASURER | 4151684 |
| MCCLOSKEY, MARK THOMAS | CHIEF COMPLIANCE OFFICER | 325596 |
| PIZELO, PHILIP ANTHONY | DIRECTOR, CEO | 2429418 |
| SIMS, JEFFREY SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 3247374 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 7 |
| Bond | 1 |
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.
