Fred J. Gatling
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.
Fred James Gatling was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1985. Fred had worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2014 - January 16, 2016
WHETSTONE CAPITAL ADVISORS
June 4, 2012 - December 18, 2014
QUEST STRATEGY
September 24, 1985 - May 16, 1996
SALOMON BROTHERS INC.
Primary Firm SEC Registration
WHETSTONE CAPITAL ADVISORS
CRD#: 155414 / SEC#: 801-79507
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 15
Date: 4/27/1984
Foreign Currency Options ExaminationCurrent Firm
WHETSTONE CAPITAL ADVISORS
CRD#: 155414 / SEC#: 801-79507
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 353,327,057 |
Red Flags
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