DF
David J. Fredrick
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
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CRD#: 2040758
DF
Professional summary
David Joseph Fredrick II, who also goes by David Joseph II Fredrick, David Fredrick, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Joseph Ii Fredrick | David Fredrick
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Joseph Fredrick II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 28, 2025 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
BOSTON, MA
Past
April 9, 2018 - January 13, 2025
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
June 7, 2010 - April 5, 2018
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
June 1, 2010 - April 5, 2018
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
April 26, 2004 - June 3, 2010
VAN KAMPEN ADVISORS INC
RIA
CRD#: 104703
NEWTON, MA
Past
August 1, 2000 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
April 15, 1999 - August 11, 2000
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
July 10, 1998 - April 27, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
November 1, 1996 - May 29, 1998
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
August 28, 1992 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 8039
BOSTON, MA
Past
March 25, 1991 - September 4, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/28/2025)
RR
Alaska(1/28/2025)
RR
Arizona(1/28/2025)
RR
Arkansas(1/28/2025)
RR
California(1/28/2025)
RR
Colorado(1/28/2025)
RR
Connecticut(1/28/2025)
RR
Delaware(1/28/2025)
RR
District of Columbia(1/28/2025)
RR
Florida(1/28/2025)
RR
Georgia(1/28/2025)
RR
Hawaii(1/28/2025)
RR
Idaho(1/28/2025)
RR
Illinois(1/28/2025)
RR
Indiana(1/28/2025)
RR
Iowa(1/28/2025)
RR
Kansas(1/28/2025)
RR
Kentucky(1/28/2025)
RR
Louisiana(1/28/2025)
RR
Maine(1/28/2025)
RR
Maryland(1/28/2025)
RR
Massachusetts(1/28/2025)
RR
Michigan(1/28/2025)
RR
Minnesota(1/28/2025)
RR
Mississippi(1/28/2025)
RR
Missouri(1/28/2025)
RR
Montana(1/28/2025)
RR
Nebraska(1/28/2025)
RR
Nevada(1/28/2025)
RR
New Hampshire(1/28/2025)
RR
New Jersey(1/28/2025)
RR
New Mexico(1/28/2025)
RR
New York(1/28/2025)
RR
North Carolina(1/28/2025)
RR
North Dakota(1/28/2025)
RR
Ohio(1/29/2025)
RR
Oklahoma(1/28/2025)
RR
Oregon(1/28/2025)
RR
Pennsylvania(1/28/2025)
RR
Puerto Rico(1/28/2025)
RR
Rhode Island(1/28/2025)
RR
South Carolina(1/28/2025)
RR
South Dakota(1/28/2025)
RR
Tennessee(1/28/2025)
RR
Texas(1/28/2025)
RR
Utah(1/28/2025)
RR
Vermont(1/28/2025)
RR
Virginia(1/28/2025)
RR
Washington(1/28/2025)
RR
West Virginia(1/28/2025)
RR
Wisconsin(1/28/2025)
RR
Wyoming(1/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
Company Information
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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