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FH

Frederick J. Hentschel

Some features on this profile are disabled
CRD#: 2447814
FH

Professional summary

Frederick Jay Hentschel III was barred by the FINRA 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 5 firms, which includes NORTHRIDGE CAPITAL CORPORATION, FIRST PROVIDENCE FINANCIAL GROUP LLC, FOSTER JEFFRIES SECURITIES LLC, MATRIX SECURITIES CORPORATION, STRATTON OAKMONT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frederick J Hentschel Jr | Frederick Jay Hentschel Jr | Frederick Jay Hentschel

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 25, 1999 - January 21, 2000

NORTHRIDGE CAPITAL CORPORATION

BD
CRD#: 16467
MELVILLE, NY
Past

August 3, 1998 - July 16, 1999

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

May 21, 1996 - June 29, 1998

FOSTER JEFFRIES SECURITIES, LLC

BD
CRD#: 30144
WESTBURY, NY
Past

August 7, 1995 - February 29, 1996

MATRIX SECURITIES CORPORATION

BD
CRD#: 30991
GARDEN CITY, NY
Past

November 10, 1994 - March 2, 1995

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 11/1/1994
Corporate Securities Limited Representative Examination

Current Firm

NC
NORTHRIDGE CAPITAL CORPORATION
CONCOURSE CAPITAL CORPORATION | PRICE FINANCIAL SERVICES/SECURITIES, INC. | PRICE FINANCIAL SERVICES/SECURITIES INCORPORATED | PRICE FINANCIAL SERVICES/SECURITIES | PRICE FINANCIAL SERVICES | NORTHRIDGE CAPITAL CORPORATION | JODOIN, BROWN & CO., INCORPORATED

CRD#: 16467 / SEC#: , 8-36544

BD
Cancelled by SEC on 11/30/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 11/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KEYSTONE CAPITAL CORPORATIONOWNER
ALFONSO, JULIAN LUISFNOP1801087
NEGUS, ANTHONY JOHNSROP, CROP,1060809
PERSHING, LORI JOSECRETARY2200979
WEINER, MICHAEL SCOTTPRESIDENT/COMPLIANCE OFFICER2214982

Disclosures

Regulatory Event9
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NORTHRIDGE CAPITAL CORPORATION

CRD#: 16467

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