Frederic H. Tipper
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 Howells Tipper, who also goes by Fred Tipper, was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1984. Frederic had worked at 8 firms and has passed the Series 63, Series 66, SIE 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
June 13, 2017 - September 11, 2017
WOODMEN FINANCIAL SERVICES, INC.
September 13, 2012 - October 13, 2016
MCKINLEY CARTER WEALTH SERVICES, INC.
June 26, 2009 - September 28, 2012
HAZLETT, BURT & WATSON, INC.
February 20, 2009 - September 28, 2012
HAZLETT, BURT & WATSON, INC.
October 29, 2003 - February 23, 2009
UNITED BROKERAGE SERVICES, INC
February 1, 1999 - December 31, 2002
UNITED BROKERAGE SERVICES, INC
September 8, 1995 - December 3, 1998
ONE VALLEY SECURITIES CORPORATION
September 6, 1991 - November 4, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 1991 - September 3, 1991
DOW, OWEN & CO., INC.
January 26, 1984 - March 21, 1989
FIRST UNION CAPITAL MARKETS 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
WOODMEN FINANCIAL SERVICES, INC.
CRD#: 117365 / SEC#: , 8-53592
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WFS HOLDINGS, INC. | 100% OWNER OF WOODMEN FINANCIAL SERVICES, INC. | |
| BENGTSON, CYNTHIA SHAWN | DIRECTOR AND CHAIRMAN | 6073749 |
| BUDERUS, TIMOTHY KEVIN | PRESIDENT, CEO AND DIRECTOR | 3083401 |
| DARLING, DANIEL RUSSELL | SENIOR SALES MANAGER | 5220507 |
| DAY, JACOB MICHAEL | DIRECTOR | 5003086 |
| DRIFFILL, CHARLES REICH JR. | DIRECTOR | 5239194 |
| EBLEN, LINDSEY JEAN | FINOP AND REVIEW PRINCIPAL (CFO)/TREASURER | 4496236 |
| OLARI, NICHOLAS CONNER | DIRECTOR AND SECRETARY | 6079027 |
| PORTER, RAHJA | CHIEF COMPLIANCE OFFICER | 6860469 |
| ROSAUER, ADAM THOMAS | MANAGER OF OPERATIONS | 4761408 |
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.
