Hilary L. Frisch
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.
Hilary Laura Frisch, who also goes by Hilary Frisch, was a registered financial professional .
Hilary is a previously registered financial professional and started their career in finance in 1993. Hilary had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2013 - May 6, 2026
FRANKLIN DISTRIBUTORS, LLC
July 12, 2010 - May 6, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 31, 2005 - August 4, 2008
NEUBERGER BERMAN MANAGEMENT LLC
June 23, 2005 - August 4, 2008
NEUBERGER BERMAN MANAGEMENT LLC
April 15, 2003 - June 23, 2005
NEUBERGER BERMAN BD LLC
December 4, 2000 - June 23, 2005
NEUBERGER BERMAN BD LLC
March 28, 1997 - March 20, 2000
PERSHING LLC
August 18, 1993 - March 7, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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