Fredrick S. Sundin
Professional summary
Fredrick Stratton Sundin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Fredrick is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Fredrick had worked at 9 firms, which includes SOURCE CAPITAL GROUP INC., MERIT CAPITAL ASSOCIATES INC., LPL FINANCIAL LLC, FISCO EQUITY INC., CENPAC SECURITIES CORP., FINANCIAL EQUITIES RESOURCES INC., BAILEY MARTIN & APPEL INC., MORGAN STANLEY DW INC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2001 - January 25, 2002
SOURCE CAPITAL GROUP, INC.
March 22, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
December 9, 1998 - March 16, 2001
LPL FINANCIAL LLC
April 9, 1991 - December 22, 1998
FISCO EQUITY, INC.
February 27, 1991 - November 12, 1991
CENPAC SECURITIES CORP.
March 5, 1990 - March 6, 1991
FINANCIAL EQUITIES RESOURCES, INC.
January 1, 1988 - March 5, 1990
BAILEY, MARTIN & APPEL, INC.
February 3, 1987 - November 9, 1987
MORGAN STANLEY DW INC.
April 23, 1986 - December 19, 1986
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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