Frederick W. Brauneck
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 William Brauneck was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1988. Frederick had worked at 10 firms and has passed the 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
July 26, 2011 - October 9, 2012
QUESTAR CAPITAL CORPORATION
January 23, 2009 - January 7, 2010
WOODSTOCK FINANCIAL GROUP, INC.
June 10, 2003 - January 6, 2009
AVALON INVESTMENT & SECURITIES GROUP, INC.
March 1, 2002 - October 14, 2002
USALLIANZ SECURITIES, INC.
May 14, 1998 - December 31, 2001
USALLIANZ SECURITIES, INC.
August 16, 1996 - March 9, 1998
THE O.N. EQUITY SALES COMPANY
May 31, 1994 - December 31, 1995
POLARIS FINANCIAL SERVICES, INC.
May 24, 1993 - May 23, 1994
TOWER INVESTMENT GROUP, INC.
January 4, 1990 - February 19, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 4, 1990 - February 19, 1992
PRUCO SECURITIES, LLC.
January 20, 1988 - November 15, 1988
ESSEX COMPANY
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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