Frederick T. Sauer
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 Thomas Sauer, who also goes by Rick Sauer, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1995. Frederick had worked at 4 firms and has passed the Series 65, Series 63 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
March 29, 2011 - December 31, 2013
INTEGRA ASSET ADVISORS, L.C.
September 27, 1995 - May 12, 1997
CITIGROUP GLOBAL MARKETS INC.
June 16, 1995 - October 3, 1995
IDS LIFE INSURANCE COMPANY
June 16, 1995 - October 3, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
INTEGRA ASSET ADVISORS, L.C.
CRD#: 114394 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 349 |
| AUM (Assets Under Management) | $ 63,990,959 |
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.
