Frederick J. Birks
Professional summary
Frederick Joseph Birks was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frederick is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Frederick had worked at 14 firms, which includes GLB TRADING INC, THE CAMELOT GROUP INC., INTREPID SECURITIES INC., VALLEY FORGE SECURITIES INC ., MASON HILL & CO. INC., LADENBURG THALMANN & CO. INC., THINKEQUITY LLC, TARPON SCURRY INVESTMENTS INC., DUNWOODY BROKERAGE SERVICES INC., THE BOSTON GROUP, LADENBURG CAPITAL MANAGEMENT INC., A.S. GOLDMEN & CO. INC., JOSEPH STEVENS & CO. INC., HANOVER STERLING & COMPANY LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2004 - December 12, 2005
GLB TRADING, INC
February 1, 2002 - September 30, 2003
THE CAMELOT GROUP, INC.
January 29, 2002 - February 1, 2002
INTREPID SECURITIES, INC.
November 15, 2000 - December 31, 2001
VALLEY FORGE SECURITIES, INC .
December 24, 1998 - November 13, 2000
MASON HILL & CO., INC.
July 22, 1998 - November 4, 1998
LADENBURG THALMANN & CO. INC.
December 2, 1997 - July 1, 1998
THINKEQUITY LLC
August 8, 1997 - November 19, 1997
TARPON SCURRY INVESTMENTS, INC.
February 8, 1997 - July 1, 1997
DUNWOODY BROKERAGE SERVICES, INC.
July 29, 1996 - February 27, 1997
THE BOSTON GROUP
March 25, 1996 - August 5, 1996
LADENBURG CAPITAL MANAGEMENT INC.
October 11, 1994 - April 2, 1996
A.S. GOLDMEN & CO., INC.
April 29, 1994 - October 13, 1994
JOSEPH STEVENS & CO., INC.
March 16, 1994 - August 4, 1994
HANOVER, STERLING & COMPANY LTD.
February 18, 1994 - May 5, 1994
A.S. GOLDMEN & CO., 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
Exams
Series 55
Date: 9/5/2002
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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