Fred E. Waxler
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 Eric Waxler, who also goes by Waxles Eric, Fred Waxler Waxler, was a registered financial advisor .
Fred is a previously registered financial advisor and started their career in finance in 1987. Fred had worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2010 - August 5, 2011
FOOTHILL SECURITIES, INC.
February 11, 2010 - August 5, 2011
FOOTHILL SECURITIES, INC.
August 24, 2009 - January 28, 2010
FINANCIAL TELESIS INC
August 20, 2009 - January 28, 2010
FINANCIAL TELESIS INC
March 31, 2009 - July 27, 2009
ALLSTATE FINANCIAL SERVICES, LLC
February 2, 2000 - March 31, 2009
EQUITABLE ADVISORS, LLC
July 31, 1987 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 31, 1987 - March 31, 2009
EQUITABLE ADVISORS, 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
Current Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
