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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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frederic Paul Perret's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 14, 2020 - Present

HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.

Office #1: 300 Vestavia Parkway Ste 2300, Birmingham, AL 35216
RIA
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
IAR
Series 65
Date: 10/8/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/7/1995
Investment Company Products/Variable Contracts Representative Examination

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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/14/2026)

Regulatory assets under management

Total Number of Accounts314
AUM (Assets Under Management)$ 151,158,000

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 35216

TRUST BUT VERIFY

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