Gordon K. Froeb
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.
Gordon Kiddoo Froeb was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1995. Gordon had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 31 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2020 - April 7, 2021
PICKWICK CAPITAL PARTNERS, LLC
February 28, 2017 - January 22, 2019
PRINCIPAL FUNDS DISTRIBUTOR, INC.
September 5, 2003 - October 14, 2016
NEUBERGER BERMAN BD LLC
August 11, 2003 - October 14, 2016
NEUBERGER BERMAN BD LLC
December 7, 2000 - March 13, 2001
SANFORD C. BERNSTEIN & CO., LLC
November 28, 1995 - December 7, 2000
SANFORD C. BERNSTEIN & 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
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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