Rick A. Fetterman
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.
Rick Allen Fetterman, who also goes by Rick Fetterman, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1970. Rick had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2013 - July 13, 2023
ISC ADVISORS, INC.
April 21, 2011 - December 31, 2013
INSTITUTIONAL SECURITIES CORPORATION
January 10, 2006 - March 28, 2011
FETTERMAN INVESTMENTS, INC.
September 6, 2000 - July 13, 2023
INSTITUTIONAL SECURITIES CORPORATION
July 11, 1988 - September 10, 1988
T.L. GROUP, INC.
July 8, 1988 - January 10, 2000
PRIVATE BROKERS CORPORATION
June 6, 1988 - November 22, 1988
CHERRYWOOD DEVELOPMENT TRUST, INC.
April 14, 1986 - December 2, 2005
FETTERMAN INVESTMENTS, INC.
August 21, 1985 - March 3, 1986
DAVID ELLIS INVESTMENTS, INC.
September 12, 1984 - August 29, 1985
HILLTOP SECURITIES INC.
February 12, 1974 - September 14, 1984
INSTITUTIONAL EQUITY CORPORATION
January 2, 1970 - April 12, 1973
UNDERWOOD, NEUHAUS & CO., INCORPORATED
Primary Firm SEC Registration
ISC ADVISORS, INC.
CRD#: 166586 / SEC#: 801-77727
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/16/1969
Registered Representative ExaminationCurrent Firm
ISC ADVISORS, INC.
CRD#: 166586 / SEC#: 801-77727
Contact information
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,989 |
| AUM (Assets Under Management) | $ 1,539,119,817 |
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.
