Fred F. Ferrarini
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.
Fred Frank Ferrarini, who also goes by Fernando Frank Ferrarini, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1969. Fred had worked at 9 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 1985 - May 2, 1988
CONEJO SECURITIES CORPORATION
February 25, 1983 - May 6, 1986
WEN BIRKHOFER & CO., INC.
February 10, 1982 - August 22, 1983
PRUCO SECURITIES, LLC.
April 17, 1975 - December 20, 1982
VOYA FINANCIAL ADVISORS, INC.
February 12, 1974 - January 14, 1975
SOMERSET EQUITIES CORPORATION
March 22, 1973 - March 19, 1974
PSC SECURITIES, INC.
May 19, 1971 - April 19, 1973
CNA INVESTOR SERVICES, INC.
April 17, 1970 - August 22, 1983
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 7, 1969 - June 27, 1971
KURZ-LIEBOW & COMPANY, 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
Series 1
Date: 8/5/1969
Registered Representative ExaminationCurrent Firm
CONEJO SECURITIES CORPORATION
CRD#: 15073 / SEC#: , 8-31681
Contact information
Documents
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.
