Frederick Karafin
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 Karafin was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1971. Frederick had worked at 21 firms and has passed the PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1989 - May 7, 1991
HALPERT AND COMPANY, INC.
June 7, 1988 - July 6, 1988
A. G. EDWARDS & SONS, INC.
January 6, 1987 - April 28, 1988
PHILIPS, APPEL & WALDEN, INC.
August 14, 1985 - January 2, 1987
KIDDER, PEABODY & CO. INCORPORATED
May 14, 1985 - May 23, 1985
CITIGROUP GLOBAL MARKETS INC.
December 17, 1984 - April 29, 1985
BOENNING & SCATTERGOOD, INC.
July 24, 1981 - December 13, 1984
JANNEY MONTGOMERY SCOTT LLC
April 30, 1981 - November 23, 1982
THE CAPITAL DEFENSE GROUP, LTD.
May 30, 1980 - May 23, 1981
J.P. MORGAN SECURITIES LLC
February 6, 1979 - June 16, 1980
L. F. ROTHSCHILD & CO. INCORPORATED
July 13, 1978 - February 14, 1979
BECKER PARIBAS INCORPORATED
September 2, 1977 - July 13, 1978
BECKER SECURITIES INCORPORATED
November 17, 1976 - October 15, 1977
SHEARSON HAYDEN STONE INC.
September 17, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
August 27, 1976 - September 17, 1976
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 12, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
March 20, 1974 - July 2, 1975
DEAN WITTER & CO. INCORPORATED
April 3, 1972 - March 28, 1974
W. E. HUTTON & CO.
February 1, 1972 - April 9, 1972
ALLEN, ROGERS & CO., INC.
April 27, 1971 - February 20, 1972
FML FUNDS DISTRIBUTION COMPANY
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
PC
Date: 9/4/1984
AMEX Put and Call ExamSeries 1
Date: 4/19/1971
Registered Representative ExaminationCurrent Firm
HALPERT AND COMPANY, INC.
CRD#: 7094 / SEC#: , 8-19391
Contact information
Documents
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.
