Sheldon M. Fechtor
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.
Sheldon Mark Fechtor was a registered financial professional .
Sheldon is a previously registered financial professional and started their career in finance in 1962. Sheldon had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2014 - December 31, 2016
DETWILER FENTON & CO.
August 3, 2012 - May 28, 2015
DETWILER FENTON WEALTH MANAGEMENT INC
January 3, 2007 - December 8, 2010
DETWILER FENTON & CO.
August 4, 2006 - December 31, 2006
DETWILER FENTON & CO.
April 24, 1962 - January 3, 2012
DETWILER FENTON & CO.
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
Series 00
Date: 4/24/1962
General Securities Principal ExaminationCurrent Firm
DETWILER FENTON & CO.
CRD#: 1794 / SEC#: , 8-16324
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DETWILER FENTON GROUP, INC. | HOLDING COMPANY | |
| FENTON, PETER DELIMA | CEO, PRESIDENT, CCO | 2334505 |
| KAPPOTIS, ERNEST D | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
| Bond | 2 |
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.
