Douglas G. Frederick
Professional summary
Douglas Glen Frederick was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Douglas had worked at 8 firms, which includes GLB TRADING INC, SPIKE FINANCIAL SERVICES LLC, TJM INVESTMENTS LLC, TAFFERER TRADING LLC, NT SECURITIES LLC, BLOCK TRADING INC., MML INVESTORS SERVICES LLC, VERAVEST INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2006 - March 17, 2008
GLB TRADING, INC
June 29, 2004 - October 10, 2006
SPIKE FINANCIAL SERVICES, LLC
November 11, 2003 - June 14, 2004
TJM INVESTMENTS, LLC
July 10, 2003 - November 14, 2003
TAFFERER TRADING, LLC
January 8, 2003 - August 18, 2003
NT SECURITIES LLC
November 3, 1997 - February 6, 1998
BLOCK TRADING INC.
May 25, 1994 - March 20, 1996
MML INVESTORS SERVICES, LLC
May 10, 1993 - May 2, 1994
VERAVEST INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 9/6/2002
Limited Representative-Equity Trader ExamCurrent Firm
GLB TRADING, INC
CRD#: 125363 / SEC#: , 8-65790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECHMAN, ROBERT TRUST 08/14/06 | OWNER | |
| LECHMAN, ROBERT ALLEN | PRESIDENT, CEO, FINOP, CFO & CCO | 1045237 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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