FS
Frederick W. Spreen
NYLIFE DISTRIBUTORS LLC
New York, NY 10010
Some features on this profile are disabled
CRD#: 2641258
FS
Professional summary
Frederick William Spreen III is a registered financial professional currently at NYLIFE DISTRIBUTORS LLC located in New York, New York.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1995. Frederick has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Frederick William Spreen III'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
June 6, 2013 - Present
NYLIFE DISTRIBUTORS LLC
Office #1: 51 Madison Avenue, New York, NY 10010BD
CRD#: 35350
New York, NY
Past
December 10, 2008 - December 16, 2009
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
CHARLOTTE, NC
Past
August 23, 2005 - December 31, 2006
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
ROCHESTER, NY
Past
February 21, 2003 - September 2, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
April 23, 1998 - March 6, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
August 23, 1995 - November 13, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/30/2018)
RR
Alaska(6/5/2018)
RR
Arizona(4/11/2025)
RR
Arkansas(2/22/2016)
RR
California(10/15/2020)
RR
Colorado(4/2/2025)
RR
Connecticut(9/26/2019)
RR
Delaware(10/15/2020)
RR
District of Columbia(4/3/2025)
RR
Florida(5/30/2018)
RR
Georgia(4/3/2025)
RR
Idaho(10/15/2020)
RR
Illinois(2/19/2016)
RR
Indiana(2/22/2016)
RR
Iowa(2/22/2016)
RR
Kansas(3/1/2016)
RR
Kentucky(2/22/2016)
RR
Louisiana(5/30/2018)
RR
Maine(10/15/2020)
RR
Maryland(10/15/2020)
RR
Michigan(2/23/2016)
RR
Minnesota(2/19/2016)
RR
Mississippi(6/1/2018)
RR
Missouri(2/19/2016)
RR
Montana(2/19/2016)
RR
Nebraska(4/1/2025)
RR
Nevada(4/2/2025)
RR
New Hampshire(4/4/2025)
RR
New Jersey(6/22/2015)
RR
New Mexico(10/15/2020)
RR
New York(2/29/2016)
RR
North Carolina(2/25/2016)
RR
North Dakota(3/1/2016)
RR
Ohio(2/19/2016)
RR
Oklahoma(2/22/2016)
RR
Oregon(5/31/2018)
RR
Pennsylvania(11/18/2013)
RR
Rhode Island(10/15/2020)
RR
South Carolina(5/30/2018)
RR
South Dakota(2/25/2016)
RR
Tennessee(5/30/2018)
RR
Texas(6/11/2018)
RR
Utah(10/15/2020)
RR
Vermont(6/6/2018)
RR
Virginia(10/15/2020)
RR
Washington(10/15/2020)
RR
West Virginia(6/28/2018)
RR
Wisconsin(2/24/2016)
RR
Wyoming(10/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ND
NYLIFE DISTRIBUTORS LLC
NEW YORK LIFE INVESTMENT MANAGEMENT LLC | NYLIFE DISTRIBUTORS LLC | NYLIFE DISTRIBUTORS INC.
CRD#: 35350 / SEC#: , 8-46655
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
30 Hudson Street, Jersey City, NJ 07302
Mailing Address
30 Hudson Street 22nd Floor, Jersey City, NJ 07302
Phone number
(201) 685-6220
Established
Delaware since 10/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS LLC. | SHAREHOLDER - 100%-MEMBER | |
| AKKERMAN, JOHN WILLIAM | SENIOR MANAGING DIRECTOR, NYL INVESTMENTS INSTITUTIONAL SALES-ELECTED OFFICER | 2780712 |
| ANDREOLA, MICHAEL JOSEPH | DIRECTOR, COMPLIANCE AND SALES MATERIAL REVIEW - ELECTED OFFICER | 4302689 |
| BAIN, KAREN ANN | MANAGING DIRECTOR, TAX-ELECTED OFFICER | 6160313 |
| BARROS, JOSE NEPTALI JR | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR-ELECTED OFFICER | 3118930 |
| BENINTENDE, JACK ROBERT JR. | MANAGING DIRECTOR, INDEX IQ - ELECTED OFFICER | 7714943 |
| CRUZ, DAVID NMN | SENIOR MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 2560569 |
| GAMBLE, MICHAEL ADAM | MANAGING DIRECTOR, INSTITUTIONAL LIFE-ELECTED OFFICER | 7536233 |
| GOLDSTEIN, ANDREW PHILLIP | MANAGING DIRECTOR, FIELD OPERATIONS VALUE STREAM AGENCY WHOLESALE-ELECTED OFFICER | 5103842 |
| HANSEN, MARTA SOFIA | DIRECTOR(OFFICER), CFO, FINOP, TREASURER, PRINCIPAL OPS OFFICER-ELECTED OFFICER | 4899589 |
| HARTE, FRANCIS MICHAEL | SENIOR MANAGING DIRECTOR-ELECTED OFFICER | 1976402 |
| HOWARD, LINDA MARIE | DIRECTOR AND CHIEF COMPLIANCE OFFICER, AML OFFICER AND OFFICE OF FOREIGN ASSETS CONTROL OFFICER-ELECTED OFFICER | 2822341 |
| LEHNEIS, KIRK CHRISTOPHER | SENIOR MANAGING DIRECTOR, CHAIRMAN OF THE BOARD-ELECTED OFFICER | 6773807 |
| LONG, HARRY SCOTT | DIRECTOR, INSURANCE SOLUTIONS-RETAIL LIFE-ELECTED OFFICER | 2029580 |
| MEADE, COLLEEN ANNE | SECRETARY-ELECTED OFFICER | 5615089 |
| MICUCCI, ALISON HIERS | SENIOR MANAGING DIRECTOR, MACKAY SHIELDS INSTITUTIONAL SALES-ELECTED OFFICER | 2709298 |
| MILLAY, EDWARD PAUL | MANAGING DIRECTOR - ELECTED OFFICER | 7837443 |
| MISRA, MANALI SUDHIR | ASSISTANT GENERAL COUNSEL, ASSISTANT SECRETARY - ELECTED OFFICER | 8047340 |
| SABAL, CRAIG ANDREW | SENIOR MANAGING DIRECTOR, NYL INVESTORS INSTITUTIONAL SALES-ELECTED OFFICER | 4591702 |
| SHARRIER, ELIZABETH ANNE | ASSISTANT SECRETARY-ELECTED OFFICER | 2049186 |
| STRINGER, CHRISTOPHER RYAN | SENIOR MANAGING DIRECTOR, APOGEM CAPITAL INSTITUTIONAL SALES-ELECTED OFFICER | 5149663 |
| WICKWIRE, BRIAN DAVID | CHIEF OPERATING OFFICER, CONTROLLER, MANAGING DIRECTOR-ELECTED OFFICER | 4332103 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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