Frederick L. Wortman
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 L Wortman, who also goes by Frederick Lewis Wortman Jr, Frederick Lewis Wortman, Frederick Lewis (jr) Wortman, Rick Wortman, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1989. Frederick had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2020 - December 31, 2021
RNR SECURITIES, L.L.C.
January 28, 2013 - September 4, 2019
NEXT FINANCIAL GROUP, INC.
September 23, 2002 - January 3, 2012
THE O.N. EQUITY SALES COMPANY
July 1, 2001 - November 14, 2001
METLIFE INVESTORS DISTRIBUTION COMPANY
May 12, 1999 - July 1, 2001
WALNUT STREET SECURITIES, INC.
June 26, 1989 - May 9, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
RNR SECURITIES, L.L.C.
CRD#: 43689 / SEC#: , 8-50366
Contact information
FINRA licenses (42 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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