David V. Frederking
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.
David Vernor Frederking was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 6 firms and has passed the Series 66, 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 12, 2010 - December 31, 2019
WESTRIVER CAPITAL PARTNERS, LP
September 18, 2006 - December 10, 2009
RBC CAPITAL MARKETS, LLC
September 18, 2006 - December 10, 2009
RBC CAPITAL MARKETS, LLC
February 21, 2006 - September 26, 2006
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - September 26, 2006
CITIGROUP GLOBAL MARKETS INC.
October 9, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
December 10, 1993 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
March 11, 1991 - December 22, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 1987 - March 28, 1991
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WESTRIVER CAPITAL PARTNERS, LP
CRD#: 152655 / SEC#:
Contact information
Red Flags
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