Fredric A. Fier
Professional summary
Fredric Alan Fier, who also goes by Frederic Alan Fier, Rick Fier, Ricky Fier, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Red Bank, New Jersey.
Fredric is registered as a RR (Registered Representative) and started their career in finance in 1993. Fredric has worked at 10 firms and has passed the Series 63, Series 62, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Fredric Alan Fier's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 322 Nj-35 2nd Floor, Red Bank, NJ 07701August 10, 2021 - December 13, 2023
COWEN AND COMPANY
January 29, 2016 - January 4, 2022
COWEN PRIME SERVICES LLC
May 13, 2008 - June 15, 2016
COWEN PRIME SERVICES TRADING LLC
April 1, 2002 - January 7, 2009
MORGAN STANLEY & CO. LLC
April 10, 1995 - April 9, 2002
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 9, 1994 - November 18, 1994
AMERICORP SECURITIES, INC.
December 21, 1993 - August 23, 1994
INVESTORS ASSOCIATES, INC.
November 10, 1993 - December 21, 1993
EMANUEL AND COMPANY
September 17, 1993 - January 1, 1994
BEACON SECURITIES, 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
(12/1/2023)
(12/1/2023)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/5/2002
Limited Representative-Equity Trader ExamCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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