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DF

David E. Fred

Some features on this profile are disabled
CRD#: 1206892
DF

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.

David Earl Fred was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 16, 2018 - May 20, 2019

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
Newport Beach, CA
Past

December 22, 2017 - March 2, 2018

S2K FINANCIAL LLC

BD
CRD#: 248786
ORLANDO, FL
Past

March 6, 2015 - December 23, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
El Segundo, CA
Past

March 6, 2015 - January 4, 2016

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
El Segundo, CA
Past

January 21, 2015 - January 4, 2016

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
EL SEGUNDO, CA
Past

January 21, 2015 - January 4, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
EL SEGUNDO, CA
Past

January 21, 2015 - January 4, 2016

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
El Segundo, CA
Past

March 4, 2013 - January 4, 2016

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
EL SEGUNDO, CA
Past

July 21, 2004 - January 4, 2016

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
EL SEGUNDO, CA
Past

November 25, 2002 - December 31, 2003

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH
Past

November 25, 2002 - December 31, 2003

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

November 25, 2002 - December 31, 2003

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

November 25, 2002 - August 2, 2010

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
EL SEGUNDO, CA
Past

November 25, 2002 - January 4, 2016

CETERA ADVISORS LLC

BD
CRD#: 10299
EL SEGUNDO, CA
Past

November 16, 1998 - January 4, 2016

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

October 9, 1995 - December 31, 1996

FIRST ASSOCIATED SECURITIES GROUP, INC.

BD
CRD#: 20597
CHICO, CA
Past

July 31, 1993 - November 5, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 15, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 19, 1986 - February 15, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/23/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/19/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/27/1984
Direct Participation Programs Principal Examination

Current Firm

BC
BLUEROCK CAPITAL MARKETS LLC
BLUEROCK CAPITAL MARKETS LLC | SUNBELT NEW ENGLAND EQUITIES LLC | HALCYON EQUITIES LLC | HALCYON CAPITAL MARKETS LLC

CRD#: 136974 / SEC#: , 8-67058

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
919 Third Avenue 40th Floor, New York, NY 10022
Mailing Address
919 Third Avenue 40th Floor, New York, NY 10022
Phone number
(949) 688-6529
Established
Massachusetts since 08/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLUEROCK ENTERPRISE HOLDINGS, LPSOLE MEMBER
CONNORS, KAMALA JANINECHIEF COMPLIANCE OFFICER5729659
EMALA, JASONGENERAL COUNSEL6690509
KIRSCHENBLATT, CHAD ETHANFINOP2503352
KLEPACKI, JEFFREY GEXECUTIVE VICE PRESIDENT2883444
SCHWABER, JEFFREY SCOTTCHIEF EXECUTIVE OFFICER1751747

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.

Company Information

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

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