Fred Waldman
Professional summary
Fred Waldman is a registered financial professional currently at UPMARKET SECURITIES LLC located in New York, New York.
Fred is registered as a RR (Registered Representative) and started their career in finance in 1995. Fred has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Fred Waldman's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2025 - Present
UPMARKET SECURITIES LLC
Office #1: 1325 Avenue Of The Americas #2819, New York, NY 10019October 1, 1996 - May 28, 2015
GOLDMAN SACHS & CO. LLC
August 29, 1995 - October 1, 1996
GOLDMAN SACHS MONEY MARKETS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2025)
(11/7/2025)
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(10/22/2025)
(11/7/2025)
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Exams
Series 7TO
Date: 8/6/2025
General Securities Representative ExaminationFINRA
Current Firm
UPMARKET SECURITIES LLC
CRD#: 295634 / SEC#: , 8-70120
Contact information
FINRA licenses (37 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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