FH
Frederick Hepfer
CITIZENS SECURITIES
Clifton Park, NY 12065
Some features on this profile are disabled
CRD#: 2533083
FH
Professional summary
Frederick Hepfer, who also goes by Frederick S Hepfer, Frederick Scott Hepfer, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Clifton Park, New York.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frederick has worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frederick S Hepfer | Frederick Scott Hepfer
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.
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Hepfer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Hepfer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 24, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: One Municipal Plaza 830 Route 146, Clifton Park, NY 12065Office #2: 1440 Central Ave Ms: Nya022, Albany, NY 12205Office #3: 1516 Western Avenue Ms: Nya036, Albany, NY 12203RIA
BD
CRD#: 39550
Clifton Park, NY
Current
May 24, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: One Municipal Plaza 830 Route 146, Clifton Park, NY 12065Office #2: 1440 Central Ave Ms: Nya022, Albany, NY 12205Office #3: 1516 Western Avenue Ms: Nya036, Albany, NY 12203RIA
BD
CRD#: 39550
Clifton Park, NY
Past
January 1, 2020 - May 28, 2021
M&T SECURITIES, INC.
RIA
CRD#: 17358
ALBANY, NY
Past
June 21, 2019 - May 28, 2021
M&T SECURITIES, INC.
BD
CRD#: 17358
ALBANY, NY
Past
July 30, 2014 - June 18, 2019
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
RENSSELAER, NY
Past
August 23, 2013 - July 31, 2014
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SCHENECTADY, NY
Past
July 16, 2013 - July 31, 2014
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SCHENECTADY, NY
Past
February 22, 2010 - July 10, 2013
HALLIDAY FINANCIAL, LLC
BD
CRD#: 31741
ALBANY, NY
Past
June 1, 2009 - December 31, 2009
MORGAN STANLEY
RIA
CRD#: 149777
ALBANY, NY
Past
June 1, 2009 - February 24, 2010
MORGAN STANLEY
BD
CRD#: 149777
ALBANY, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ALBANY, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ALBANY, NY
Past
September 8, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ALBANY, NY
Past
April 12, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ALBANY, NY
Past
May 15, 2000 - April 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(1/2/2024)
RR
Missouri(11/18/2021)
IAR
Missouri(11/18/2021)
RR
New York(5/24/2021)
IAR
New York(5/24/2021)
RR
Ohio(5/1/2025)
IAR
Ohio(5/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
