Herbert Garrett Frey
Professional Summary
Herbert Garrett Frey, who also goes by H Garrett Frey, was a registered financial advisor. Herbert was a previously registered financial professional and started their career in finance 1966 - 2020. Herbert had worked at 12 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 27, Series 4 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
H Garrett Frey
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Videos & Posts
This advisor has not added any videos or posts yet.
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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.
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Years of Experience
64 years in the financial services industry
Current & Past Employments
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Current Firm
LINCOLN DOUGLAS INVESTMENTS, LLC
Contact Information
Main Address
1051 Newark Rd, Mount Vernon, OH 43050Mailing Address
1051 Newark Rd, Mt. Vernon, OH 43050Phone Number
(740) 397-1397Established
Ohio since 09/15/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
27SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
FINRA licenses (42 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
246AUM (Assets Under Management)
$130,549,335Similar Advisors
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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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Primary Firm SEC Registration
LINCOLN DOUGLAS INVESTMENTS, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed May 1982Series 1 — Registered Representative Examination
Passed Apr 1962Series 00 — General Securities Principal Examination
Passed Jun 1966Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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