Frederick F. Dietz
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 Francis Dietz, who also goes by Fred Dietz, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1985. Frederick had worked at 7 firms and has passed the Series 63, 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
March 15, 2004 - November 6, 2006
COMMONWEALTH CAPITAL SECURITIES CORP.
November 7, 1996 - October 1, 2001
EISNER SECURITIES, INC.
May 25, 1995 - October 23, 1996
INVESTACORP, INC.
July 31, 1993 - May 18, 1995
CITIGROUP GLOBAL MARKETS INC.
July 9, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
July 25, 1989 - June 14, 1991
GLEACHER & COMPANY SECURITIES, INC.
April 26, 1985 - July 17, 1989
THOMSON MCKINNON SECURITIES 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
Exams
Current Firm
COMMONWEALTH CAPITAL SECURITIES CORP.
CRD#: 39979 / SEC#: , 8-48915
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HJA TRUST | OWNER, COMMONWEALTH CAPITAL SECURITIES CORP. | |
| ABBOTT, HENRY JOSEPH | CHAIRMAN, CEO, PRESIDENT, NON-OWNER | 2676347 |
| DOSTER, BRIAN R | DIRECTOR, TRUSTEE OF HJA TRUST, GENERAL COUNSEL, NON-OWNER | 6764205 |
| PRUETT, JAMES TRAVIS | DIRECTOR, SENIOR VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER, CHIEF COMPLIANCE OFFICER, NON-OWNER | 4849769 |
Red Flags
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