Frederic W. Schrodt
Professional summary
Frederic William Schrodt, who also goes by Frederick William Schrodt, is a registered financial professional currently at WORLD EQUITY GROUP, INC. located in Westport, New York.
Frederic is registered as a RR (Registered Representative) and started their career in finance in 1989. Frederic has worked at 20 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederic William Schrodt's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 22, 2019 - Present
WORLD EQUITY GROUP, INC.
October 5, 2015 - February 27, 2019
HOLISTIC BROKERAGE, LLC
January 27, 2012 - October 5, 2015
PENSERRA SECURITIES, LLC
October 20, 2009 - January 30, 2012
VCG SECURITIES, LLC
May 27, 2005 - October 8, 2009
PYXIS SECURITIES, LLC
November 22, 2004 - April 27, 2005
BERNARD, RICHARDS SECURITIES, INC.
October 16, 2003 - October 1, 2004
BERGEN CAPITAL, INC.
July 14, 2000 - November 5, 2003
RAYMOND JAMES & ASSOCIATES, INC.
November 20, 1997 - June 28, 2000
NATIVE NATIONS SECURITIES, INC.
June 9, 1997 - October 31, 1997
LOP CAPITAL MARKETS, INC.
July 17, 1996 - May 2, 1997
YOUNG, STOVALL AND COMPANY
March 13, 1996 - June 6, 1996
GLOBALVEST SECURITIES, (USA), INC
September 12, 1995 - January 25, 1996
GUGGENHEIM INVESTOR SERVICES, LLC
June 16, 1995 - August 8, 1995
SHAMROCK PARTNERS, LTD
January 4, 1995 - June 23, 1995
TEXAS CAPITAL SECURITIES, INC.
November 15, 1994 - December 15, 1994
LIBERTY CAPITAL MARKETS, INC.
August 24, 1994 - October 11, 1994
TDI, INCORPORATED
March 30, 1994 - August 30, 1994
THE TRADING DESK, INC.
September 13, 1993 - February 1, 1994
GREAT PACIFIC SECURITIES
September 5, 1991 - September 3, 1993
LIBERTY CAPITAL MARKETS, INC.
August 14, 1991 - September 4, 1991
GRANITE CAPITAL MANAGEMENT CORP.
July 19, 1989 - August 13, 1991
YOUNG, STOVALL AND COMPANY
Primary Firm SEC Registration
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/17/2019)
(8/31/2020)
(4/30/2019)
(6/24/2019)
(5/11/2020)
(2/22/2019)
(4/24/2020)
(3/1/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
