Fred Holender
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.
Fred Holender was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1974. Fred had worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2009 - January 20, 2022
CADARET, GRANT & CO., INC.
August 1, 2003 - August 5, 2009
WALNUT STREET SECURITIES, INC.
November 28, 2000 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
October 15, 1993 - January 2, 2001
VOYA FINANCIAL PARTNERS, LLC
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
October 21, 1982 - December 31, 1997
MML INVESTORS SERVICES, LLC
July 3, 1975 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
August 12, 1974 - April 15, 1978
TOWER SQUARE 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
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/6/1974
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
