Frederick A. Edwards
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 Arthur Edwards, who also goes by Fred Edwards, Frederick Arthur Edwards Jr, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1987. Frederick had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 87, Series 55, Series 7, Series 27, Series 12 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2016 - March 13, 2018
STRATEGAS ASSET MANAGEMENT, LLC
April 23, 2014 - February 8, 2018
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
September 13, 2012 - April 16, 2014
BLV SECURITIES
July 1, 2009 - April 17, 2014
IRC SECURITIES LLC
June 12, 2008 - January 14, 2009
LIGHTHOUSE FINANCIAL GROUP, LLC
May 28, 2008 - July 15, 2009
IRC SECURITIES
July 26, 2006 - April 10, 2008
RAFFERTY CAPITAL MARKETS, LLC
December 21, 2001 - May 25, 2006
GGET, LLC.
November 9, 2000 - January 24, 2002
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 11, 1998 - January 4, 2002
ICAP SECURITIES USA LLC
November 8, 1995 - January 21, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 1992 - September 28, 1995
INTERCAPITAL GOVERNMENT SECURITIES INC.
February 28, 1991 - April 1, 1991
FUNDAMENTAL BROKERS
July 25, 1987 - February 28, 1991
FUNDAMENTAL BROKERS
Primary Firm SEC Registration
STRATEGAS ASSET MANAGEMENT, LLC
CRD#: 172000 / SEC#: 801-113292
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 55
Date: 2/21/2001
Limited Representative-Equity Trader ExamSeries 12
Date: 1/11/2001
NYSE Branch Manager ExaminationCurrent Firm
STRATEGAS ASSET MANAGEMENT, LLC
CRD#: 172000 / SEC#: 801-113292
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 148,153,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 | ||
| 10/27/2022 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 6/6/2017 |
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.
