Ivy L. Fredericks
Professional summary
Ivy Lindstrom Fredericks, who also goes by IVy J Lindstrom, Ivy Jo Lindstrom, is a registered financial professional currently at TRANSNATIONAL CAPITAL CORP. located in New York, New York.
Ivy is registered as a RR (Registered Representative) and started their career in finance in 1988. Ivy has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ivy Lindstrom Fredericks's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2005 - Present
TRANSNATIONAL CAPITAL CORP.
Office #1: 420 Lexington Avenue Suite 300, New York, NY 10170Office #2: 420 Lexington Avenue Suite 300, New York, NY 10170October 10, 2000 - March 7, 2005
WESTMINSTER SECURITIES CORPORATION
May 15, 2000 - January 8, 2001
LAIDLAW GLOBAL SECURITIES, INC.
October 4, 1999 - May 25, 2000
FRG SECURITIES, LLC
July 25, 1995 - December 14, 2000
ALEXANDER DUNHAM SECURITIES, INC.
March 28, 1991 - April 7, 1993
KIDDER, PEABODY & CO. INCORPORATED
October 19, 1988 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/23/2013)
(11/18/2005)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 28
Date: 5/23/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
TRANSNATIONAL CAPITAL CORP.
CRD#: 135306 / SEC#: , 8-66908
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREDERICKS, IVY LINDSTROM | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1404106 |
| FREDERICKS, IVY LINDSTROM | PRESIDENT/CEO/ SECREATARY/TREASURER/CHIEF COMPLIANCE OFFICER | 1404106 |
| FREDERICKS, IVY LINDSTROM | FINOP | 1404106 |
| MAH, FRANK PING HANG | MANAGING DIRECTOR | 1525147 |
| POST, GARY MARSHALL | MANAGING DIRECTOR | 1383099 |
Red Flags
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