Frederick R. Fernatt
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.
Frederick Ray Fernatt, CFP®, who also goes by Fred Fernatt, Frederick Fernatt, was a registered financial advisor .
Frederick is a previously registered financial advisor and started their career in finance in 1985. Frederick had worked at 8 firms and has passed the Series 63 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
Start date: 1983
Experience
December 21, 2007 - September 18, 2009
ALLSTATE FINANCIAL SERVICES, LLC
December 16, 2005 - May 4, 2006
INVEST FINANCIAL CORPORATION
December 6, 2005 - May 4, 2006
INVEST FINANCIAL CORPORATION
August 27, 1999 - April 13, 2005
CETERA ADVISORS LLC
January 1, 1999 - November 30, 2004
BRADFORD FINANCIAL CENTER
October 1, 1991 - August 25, 1999
OSAIC WEALTH, INC.
October 26, 1988 - November 15, 1990
INTERCAP FINANCIAL CORPORATION
December 24, 1986 - October 17, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 1, 1985 - January 2, 1987
FSC SECURITIES CORPORATION
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
