Frederick H. Deats
Professional summary
Frederick Henry Deats, who also goes by Fred H Deats, Frederick H Deats, Frederick Deats, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Charlotte, North Carolina.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1984. Frederick has worked at 18 firms and has passed the Series 63, Series 57TO, Series 72, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederick Henry Deats's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 1030 Admiral Nelson Ct, Charlotte, NC 28262April 24, 2024 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
April 24, 2024 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
April 24, 2024 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
April 24, 2024 - August 1, 2025
CADARET, GRANT & CO., INC.
January 3, 2022 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
December 7, 2021 - December 21, 2021
LPL FINANCIAL LLC
February 25, 2021 - October 21, 2021
LPL FINANCIAL LLC
August 30, 2019 - August 25, 2020
WELLS FARGO CLEARING SERVICES, LLC
March 25, 2017 - June 4, 2019
MML INVESTORS SERVICES, LLC
November 13, 2007 - September 5, 2013
WALNUT STREET SECURITIES, INC.
November 13, 2007 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
November 13, 2007 - January 2, 2015
NEW ENGLAND SECURITIES
November 13, 2007 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 3, 1994 - April 2, 2007
JEFFERIES LLC
September 14, 1992 - January 10, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
November 26, 1990 - September 23, 1992
GUARDIAN INVESTOR SERVICES LLC
October 16, 1986 - January 16, 1987
FIRST OPTIONS OF CHICAGO, INC.
September 20, 1984 - October 15, 1986
H. A. BRANDT & ASSOCIATES, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/12/2025)
(11/12/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 12/21/2002
Limited Representative-Equity Trader ExamFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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