Karl D. Fruecht
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.
Karl David Fruecht, who also goes by Karl Fruecht, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 2000. Karl had worked at 2 firms and has passed the Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2011 - April 30, 2012
PENSON FINANCIAL SERVICES, INC.
July 14, 2000 - July 8, 2009
HSBC SECURITIES (USA) INC.
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
PENSON FINANCIAL SERVICES, INC.
CRD#: 25866 / SEC#: , 8-42095
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Arbitration | 10 |
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.
