Richard N. Fredette
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.
Richard Noel Fredette was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 15, Series 5, Series 3 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
November 1, 2018 - December 18, 2018
CANTELLA & CO., INC.
November 15, 2017 - September 14, 2018
CALTON & ASSOCIATES, INC.
January 5, 2015 - November 9, 2017
IMS SECURITIES, INC.
May 7, 1998 - December 31, 2014
TRI-STAR FINANCIAL
October 27, 1995 - May 1, 1997
CANTELLA & CO., INC.
May 11, 1994 - September 11, 1995
M. J. WHITMAN, INC.
February 25, 1992 - May 18, 1994
HYM FINANCIAL, INC.
July 26, 1984 - April 19, 1986
PRUDENTIAL EQUITY GROUP, 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
Series 15
Date: 5/3/1985
Foreign Currency Options ExaminationSeries 5
Date: 11/9/1984
Interest Rate Options ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
