Frederick P. Bethon
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.
Frederick Patrick Bethon, who also goes by Frederick Patrick Bethon Jr, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1991. Frederick had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7, Series 24 and Series 4 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, 2013 - December 16, 2013
XFA SECURITIES, LLC
January 5, 2012 - July 3, 2012
3 BRIDGES SECURITIES
April 8, 2011 - July 29, 2013
X-CHANGE FINANCIAL ACCESS, LLC
April 10, 2008 - November 19, 2010
RBC CAPITAL MARKETS, LLC
January 14, 2008 - April 10, 2008
OPPENHEIMER & CO. INC.
August 19, 2003 - January 14, 2008
CIBC WORLD MARKETS CORP.
November 3, 2000 - March 14, 2003
UBS SECURITIES LLC
February 24, 1995 - November 3, 2000
UBS FINANCIAL SERVICES INC.
October 15, 1991 - February 2, 1994
UBS FINANCIAL SERVICES 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 55
Date: 4/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
XFA SECURITIES, LLC
CRD#: 147909 / SEC#: , 8-67939
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.
