James G. Fredericks
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.
James Gerard Fredericks was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1965. James had worked at 4 firms and has passed the Series 63, Series 55, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2002 - December 31, 2004
FELTL & COMPANY
March 26, 1973 - September 13, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
August 22, 1972 - May 13, 1973
TEIG ROSS, INC.
May 7, 1965 - September 18, 1972
VERNON J ROCKLER & CO 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: 12/7/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 7/28/1961
Registered Representative ExaminationSeries 00
Date: 5/23/1974
General Securities Principal ExaminationCurrent Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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