Fredrick Nicholas Balbi
Professional Summary
Fredrick Nicholas Balbi, who also goes by Fredrick N Balbi, was a registered financial advisor. Fredrick was a previously registered financial professional and started their career in finance 1985 - 1998. Fredrick had worked at 6 firms and has passed the Series 63, Series 7, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Fredrick N Balbi
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
42 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
DATEK ONLINE BROKERAGE SERVICES CORP. | ICAPITAL MARKETS LLC | DATEK SECURITIES CORP. | DATEK ONLINE BROKERAGE SERVICES LLC
Contact Information
Established
New York since 07/19/1999Firm Type
Limited Liability CompanyFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT CORP. | — |
| BRENNAN, MICHAEL RAYMOND | CROP,SVP,SROP | 1305900 |
| DUHOVIC, JERRY VICTOR | SVP/COMPLIANCE OFFICER | 2123754 |
| HALVORSON, KURT DAVID | MANAGER | 1764312 |
| LANGNER, CAROLINE FRANCES | COMPLIANCE OFFICER | 3073124 |
| MACDONALD, JOHN RANALD | MANAGER, FINOP, CFO | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | SVP, SECRETARY | 2446207 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
Regulatory Event
19Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Apr 1990About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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