Fred L. Huse
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 Leo Huse, who also goes by Fred L Huse, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1973. Fred had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2004 - December 31, 2019
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - December 31, 2019
VOYA FINANCIAL ADVISORS, INC.
September 2, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 1, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
October 13, 1998 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
March 1, 1996 - November 4, 1998
MML INVESTORS SERVICES, LLC
July 26, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
September 25, 1992 - May 10, 1995
NATIONAL PLANNING CORPORATION
January 27, 1983 - August 14, 1991
G. R. PHELPS & CO., INC.
January 14, 1977 - February 23, 1983
PROVIDENT MARKETING CORPORATION
May 1, 1973 - January 14, 1977
PROVIDENT NATIONAL EQUITIES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 4/6/1973
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
