Fred E. Plan
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 Eugene Plan, who also goes by Fredric Eugene Plan, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1986. Fred had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 1997 - July 29, 1999
THE THERMOPYLAE GROUP, INC.
April 11, 1997 - June 9, 1997
MILLENNIUM SECURITIES CORP.
July 29, 1996 - July 11, 1997
EURO-ATLANTIC SECURITIES INC.
February 26, 1996 - July 2, 1996
A. R. BARON & CO., INC.
May 20, 1986 - January 26, 1996
PRUDENTIAL EQUITY GROUP, 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
Series 8
Date: 2/12/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE THERMOPYLAE GROUP, INC.
CRD#: 3059 / SEC#: , 8-13249
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THERMOPYLAE CAPITAL, LLC | SHAREHOLDER | |
| GURIN, EDWARD IRVING | PRESIDENT, GENERAL SECURITIES PRINCIPAL | 2958493 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 6 |
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.
