Harry A. Fredrick
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.
Harry Adam Fredrick III, who also goes by Fred Frederick, Fred Fredrick III, Harry Adam Fredrick, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1971. Harry had worked at 10 firms and has passed the Series 63 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
October 29, 1990 - July 22, 1992
THE TRADING DESK, INC.
August 28, 1990 - October 31, 1990
KNIBBE FINANCIAL GROUP, INC.
June 12, 1990 - August 29, 1990
THE INVESTMENT CENTER, INC.
January 6, 1989 - June 13, 1990
FIRSTMONEY SECURITIES CORPORATION
October 3, 1988 - January 7, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
November 29, 1979 - October 3, 1988
UMIC, INC.
April 26, 1978 - August 17, 1978
G. WEEKS & CO., INC.
April 13, 1976 - December 24, 1979
STEWART-JOHNS MUNICIPAL SECURITIES, INC.
June 28, 1974 - March 25, 1976
F. L. LAWRENCE & COMPANY, INC.
March 27, 1972 - March 16, 1973
UMIC, INC.
August 31, 1971 - April 25, 1972
HIBBARD, O'CONNOR & WEEKS, 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 00
Date: 8/27/1971
General Securities Principal ExaminationCurrent Firm
THE TRADING DESK, INC.
CRD#: 22908 / SEC#: , 8-39875
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.
