FP
Frederic P. Perret
HORIZONS SUSTAINABLE FINANCIAL SERVICES
Birmingham, AL 35216
Some features on this profile are disabled
CRD#: 2636651
FP
Professional summary
Frederic Paul Perret, who also goes by F. Paul Perret, is a registered financial advisor currently at HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC. located in Birmingham, Alabama.
Frederic is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Frederic has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
F. Paul Perret
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.
1. DBA: THE PERRET FINANCIAL GROUP; INVESTMENT RELATED; 300 VESTAVIA PARKWAY SUITE 2300, BIRMINGHAM AL 35216; FINANCIAL PLANNING AND FIXED INSURANCE PRODUCTS; PRESIDENT; STARTED 11/2000; 160 HRS/MO. 2. VOLUNTEER, ALABAMA FIRST; NOT INVESTMENT RELATED; 732 MONTGOMERY HWY BIRMINGHAM, AL 35216; TREASURER DUTIES; TREASURER; STARTED 04/2010; 10 HRS/MO.
ALABAMA RIVERS ALLIANCE
POSITION: BOARD TREASURER NATURE: CONSERVATION INVESTMENT RELATED: NO NUMBER OF HOURS: 15 INVESTMENT RELATED HOURS: 0 START DATE: 09/02/2013
ADDRESS: 2014 6TH AVE NORTH, STE 200, BIRMINGHAM AL 35203
DESCRIPTION: NON-PROFIT CONSERVATION ORGANIZATION FOCUSING ON PRESERVATION OF AND RESTORATION OF ALABAMA RIVERS. RECOMMEND POLICIES FOR STAFF HANDLING OF DONATIONS. REVIEW POLICIES WITH DIRECTOR AND EDUCATE STAFF TO PROPER PROCEDURES. AUDIT MONTHLY EXPENDITURES AND REPORT FINDINGS TO THE BOARD OF DIRECTORS.
CRS (Client Relationship Summary) - RIA
Click below to view Frederic Paul Perret'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
August 14, 2020 - Present
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
Office #1: 300 Vestavia Parkway Ste 2300, Birmingham, AL 35216RIA
CRD#: 164970
Birmingham, AL
Past
January 9, 2018 - September 15, 2020
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
RIA
CRD#: 109036
Birmingham, AL
Past
January 3, 2018 - January 3, 2018
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
RIA
CRD#: 109036
Birmingham, AL
Past
October 11, 2002 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
November 2, 2000 - December 31, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
October 26, 1998 - November 8, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
May 16, 1998 - October 21, 1998
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
Past
September 8, 1995 - January 15, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
HS
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
CRD#: 164970 / SEC#: 801-120599
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Colorado
Registered Investment Advisory firm - (3/26/2021 Terminated)New Mexico
Registered Investment Advisory firm - (3/26/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/6/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
Alabama(5/4/2021)
IAR
New Mexico(8/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
HS
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
CRD#: 164970 / SEC#: 801-120599
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Colorado
Registered Investment Advisory firm - (3/26/2021 Terminated)New Mexico
Registered Investment Advisory firm - (3/26/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/6/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)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
535 Cerrillos Road Suite A2, Santa Fe, NM 87501
Mailing Address
Phone number
(505) 982-9661
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 714 |
| AUM (Assets Under Management) | $ 131,873,325 |
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
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
CRD#: 164970Birmingham, AL 35216TRUST BUT VERIFY
Monitor Frederic Perret
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
