Friedrich V. Thiel
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.
Friedrich Van Winkle Thiel, who also goes by Fredrick Thiel, Friedrich Vanwinkle Thiel, Friedrich Thiel, Fritz Thiel, was a registered financial professional .
Friedrich is a previously registered financial professional and started their career in finance in 1985. Friedrich had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 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
Experience
July 6, 2010 - December 31, 2024
CUTTER & COMPANY, INC.
July 2, 2010 - December 31, 2024
CUTTER & COMPANY, INC.
June 1, 2009 - July 21, 2010
MORGAN STANLEY
June 1, 2009 - July 21, 2010
MORGAN STANLEY
January 1, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 2, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 4, 1990 - October 26, 1992
WELLS FARGO CLEARING SERVICES, LLC
August 20, 1985 - September 4, 1990
PRESCOTT, BALL & TURBEN, 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
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
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.
