Frederick O. Kraus
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 Oscar Kraus, who also goes by Fred Kraus, Frederick Oscar Kraus Jr, Frederick Oscar Kraus Jr., was a registered financial advisor .
Frederick is a previously registered financial advisor and started their career in finance in 1985. Frederick had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 22, Series 6, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2015 - August 24, 2015
JHS CAPITAL ADVISORS, LLC
November 20, 2012 - January 30, 2013
LEGEND SECURITIES, INC.
January 31, 2012 - May 31, 2012
AXOS CLEARING LLC
October 10, 2006 - April 12, 2010
GUNNALLEN FINANCIAL, INC
January 27, 2005 - April 12, 2010
GUNNALLEN FINANCIAL, INC
May 6, 2004 - November 30, 2004
VESTPOINT SECURITIES, INC.
May 2, 2003 - January 2, 2004
MONARCH FINANCIAL CORPORATION OF AMERICA
January 30, 2003 - October 1, 2003
WORLD FINANCIAL SERVICES, INC.
December 7, 2000 - July 2, 2003
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
August 27, 1997 - July 16, 2002
COASTAL FINANCIAL SECURITY, INCORPORATED
March 16, 1987 - August 21, 1997
ALLEN & COMPANY OF FLORIDA, LLC
August 14, 1985 - June 30, 1986
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 55
Date: 2/17/2003
Limited Representative-Equity Trader ExamCurrent Firm
JHS CAPITAL ADVISORS, LLC
CRD#: 112097 / SEC#: 801-71238, 8-53232
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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