Frederick E. Graboyes
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.
Frederick E Graboyes, who also goes by Fred Graboyes, was a registered financial advisor .
Frederick is a previously registered financial advisor and started their career in finance in 1999. Frederick had worked at 7 firms and has passed the Series 63, Series 65, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2012 - September 23, 2014
LIQUIDNET, INC.
July 10, 2009 - January 29, 2010
ABEL/NOSER CORP.
October 22, 2007 - December 31, 2008
TROPHY POINT ASSET MANAGEMENT LLC
June 25, 2004 - March 19, 2009
RAMIREZ TRADETREK SECURITIES LLC
February 28, 2003 - June 24, 2004
LEEB BROKERAGE SERVICES, INC.
June 21, 2002 - February 21, 2003
ORBITEX FUNDS DISTRIBUTOR, INC.
February 16, 1999 - May 1, 2002
COWEN EXECUTION SERVICES LLC
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 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
