Herbert G. Frey
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.
Herbert Garrett Frey, who also goes by H Garrett Frey, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1966. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2018 - December 2, 2020
LINCOLN DOUGLAS INVESTMENTS, LLC
November 17, 2017 - September 7, 2018
UNION CAPITAL COMPANY
July 21, 2016 - December 5, 2017
LANDOLT SECURITIES, INC.
June 19, 2015 - June 17, 2016
SIGMA FINANCIAL CORPORATION
January 30, 2015 - June 15, 2015
LASALLE ST SECURITIES, L.L.C.
May 30, 2014 - January 30, 2015
L.M. KOHN & COMPANY
April 10, 2000 - August 15, 2014
JETTRADE, INC.
May 5, 1997 - April 12, 2000
L.M. KOHN & COMPANY
June 12, 1992 - April 22, 1997
BIRCHTREE FINANCIAL SERVICES LLC
November 23, 1990 - April 12, 1991
ROBERT TODD FINANCIAL CORP.
November 1, 1979 - January 19, 1990
QUEEN CITY SECURITIES CORPORATION
March 9, 1978 - November 20, 1979
PRUDENTIAL EQUITY GROUP, LLC
July 6, 1966 - October 26, 1979
HARRISON AND COMPANY
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 5
Date: 5/21/1982
Interest Rate Options ExaminationSeries 1
Date: 4/4/1962
Registered Representative ExaminationSeries 00
Date: 6/25/1966
General Securities Principal ExaminationCurrent Firm
LINCOLN DOUGLAS INVESTMENTS, LLC
CRD#: 155578 / SEC#: 801-72438, 8-68728
Contact information
FINRA licenses (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 199 |
| AUM (Assets Under Management) | $ 97,644,384 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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