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Frederick Patrick Bethon

CRD# 2077779·Registered 1991 - 2013
Previously Registered: Being a previously registered professional could mean that Frederick 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.

Professional Summary

Frederick Patrick Bethon, who also goes by Frederick Patrick Bethon Jr, was a registered financial advisor. Frederick was a previously registered financial professional and started their career in finance 1991 - 2013. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Frederick Patrick Bethon Jr

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

XFA SECURITIES, LLC·CRD# 147909
BD
Chicago, IL
January 18, 2013 - December 16, 2013
3 BRIDGES SECURITIES·CRD# 2474
BD
New York, NY
January 5, 2012 - July 3, 2012
X-CHANGE FINANCIAL ACCESS, LLC·CRD# 126201
BD
Chicago, IL
April 8, 2011 - July 29, 2013
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
April 10, 2008 - November 19, 2010
OPPENHEIMER & CO. INC.·CRD# 249
BD
New York, NY
January 14, 2008 - April 10, 2008
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
August 19, 2003 - January 14, 2008
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
November 3, 2000 - March 14, 2003
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
February 24, 1995 - November 3, 2000
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
October 15, 1991 - February 2, 1994

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Current Firm

XS
XFA SECURITIES, LLC

EXOS SECURITIES, LLC | XFA SECURITIES, LLC

CRD#: 147909 / SEC#: 8-67939
BD
Terminated by SEC on 07/29/2014

Contact Information

Established

Delaware since 06/02/2008

Firm Type

Limited Liability Company

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
XFA HOLDINGS, LLCMANAGING MEMBER—
DULLANTY, JAMES MICHAELMUNICIPAL PRINCIPAL—
FITZGERALD, WILLIAM EDWARDFINOP AND CFO1156792
LYNN, EDWARD CHARLESCEO1215582
STAFFORD, GEORGE F JRCCO1193620

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1993About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1991About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Dec 2010About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 2000

Series 7 — General Securities Representative Examination

Passed Oct 1991About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 2008About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Feb 1996About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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