Fredric S. Daub
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.
Fredric Scott Daub, who also goes by Fred Scott Daub, Fred Daub, was a registered financial professional .
Fredric is a previously registered financial professional and started their career in finance in 1985. Fredric had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 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
January 21, 2022 - December 31, 2022
THE LEADERS GROUP, INC.
March 28, 2018 - November 23, 2021
THE LEADERS GROUP, INC.
March 25, 2015 - January 29, 2018
PRUCO SECURITIES, LLC.
April 18, 2013 - December 31, 2014
THE LEADERS GROUP, INC.
January 6, 2010 - January 6, 2012
KESTRA INVESTMENT SERVICES, LLC
August 8, 2007 - November 9, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
February 26, 2007 - August 6, 2007
TOWER SQUARE SECURITIES, INC.
June 1, 2004 - December 31, 2006
WAVELAND CAPITAL PARTNERS LLC
June 26, 2003 - June 2, 2004
TOWER SQUARE SECURITIES, INC.
June 19, 2003 - June 2, 2004
TOWER SQUARE SECURITIES, INC.
March 28, 2003 - June 19, 2003
EASTERN POINT ADVISORS INC.
October 6, 2000 - June 19, 2003
INVESTORS CAPITAL CORP.
October 30, 1996 - October 18, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
June 4, 1996 - October 21, 1996
BLUESTONE CAPITAL CORP.
June 5, 1995 - June 4, 1996
NATIONAL SECURITIES CORPORATION
September 28, 1993 - June 5, 1995
G.R. STUART & COMPANY, INC.
January 15, 1993 - September 24, 1993
COMMONWEALTH FINANCIAL NETWORK
October 7, 1991 - January 27, 1993
FIRST AFFILIATED SECURITIES
October 1, 1990 - November 1, 1991
DUNHILL EQUITIES, INC.
August 20, 1985 - October 16, 1990
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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