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Frederick C. Blumer

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CRD#: 1574325
FB

Professional summary

Frederick Clark Blumer was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frederick is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Frederick had worked at 3 firms, which includes HARRISON SECURITIES INC., WHITEHALL WELLINGTON INVESTMENTS INC., WHITEHALL SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fred Blumer | Frederick Blumer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 11, 2000 - August 6, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

July 31, 1996 - August 18, 2000

WHITEHALL WELLINGTON INVESTMENTS, INC.

BD
CRD#: 38022
PORT WASHINGTON, NY
Past

June 7, 1996 - July 18, 1996

WHITEHALL SECURITIES, INC.

BD
CRD#: 10529
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/21/1996
General Securities Principal Examination

Current Firm

HS
HARRISON SECURITIES, INC.
D.L. SPRINGATE SECURITIES | SPRINGATE, DANIEL LAMONT | HARRISON SECURITIES, INC.

CRD#: 14103 / SEC#: , 8-30546

BD
Cancelled by SEC on 07/15/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/27/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BLUMER, FREDERICK CLARKCEO, PRESIDENT, EXEC. REP., GSP1574325
FLORIO, PHILIPFINOP2377440
LEVENTHAL, RAYMOND ALANVICEP PRESIDENT, EXEC.REP.,GSP,ROP,CROP,SROP,MSRB PRIN., COMPLAINCE OFFICER3120615

Disclosures

Regulatory Event8
Arbitration4

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.

Company Information

HARRISON SECURITIES, INC.

CRD#: 14103

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