Alice K. Fricke
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.
Alice Kaye Fricke, who also goes by Alice Fricke, was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 1988. Alice had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
May 25, 2019 - April 17, 2026
INVESCO DISTRIBUTORS, INC.
April 20, 2011 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 22, 2010 - March 28, 2011
AUERBACH GRAYSON & COMPANY LLC
April 14, 2004 - February 23, 2005
ODDO BHF NEW YORK CORPORATION
March 21, 2002 - April 8, 2004
CREDIT AGRICOLE SECURITIES (USA) INC.
June 30, 2000 - March 19, 2002
NOMURA SECURITIES INTERNATIONAL, INC.
June 20, 1994 - August 10, 2000
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
February 23, 1988 - January 17, 1989
DB ALEX. BROWN 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
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
