Frederick B. Bond
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 Blake Bond, who also goes by Fred Bond, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1983. Frederick had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 10, Series 9 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
June 30, 2011 - November 4, 2013
MAINFIRST SECURITIES US INC.
May 24, 2010 - April 26, 2011
COMMERZ MARKETS LLC
October 19, 2009 - May 24, 2010
COMMERZBANK CAPITAL MARKETS CORP.
December 17, 1996 - November 19, 2009
COMMERZ MARKETS LLC
June 21, 1996 - December 17, 1996
KLEINWORT BENSON NORTH AMERICA INC.
October 6, 1983 - June 17, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 55
Date: 1/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
MAINFIRST SECURITIES US INC.
CRD#: 150982 / SEC#: , 8-68320
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL NICOLAUS EUROPE LIMITED | OWNER | |
| ATTARZADEH, EBRAHIM | PRINCIPAL | 5731255 |
| GIBB, MITCHELL WILSON | CHIEF COMPLIANCE OFFICER | 5456377 |
| GROSS, ANDREW PAUL | CHIEF EXECUTIVE OFFICER/PRESIDENT | 2402407 |
| KIRCHNER, BJOERN LUTZ | CHIEF FINANCIAL OFFICER/TREASURER/FINOP | 5696332 |
| OLEARY, EITHNE MARIA | DIRECTOR | 7118495 |
| OWEN, JOHN RICHARD | DIRECTOR | 7117746 |
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.
