Frederic C. Boyce
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.
Frederic Clemens Boyce was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1972. Frederic had worked at 13 firms and has passed the Series 63, Series 5, PC, Series 14, Series 27, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2001 - February 11, 2002
TRAUTMAN WASSERMAN & COMPANY, INC.
November 1, 1999 - January 19, 2001
PLATINUM EQUITIES, INC.
June 12, 1998 - November 10, 1998
BARINGTON CAPITAL GROUP, L.P.
July 31, 1993 - September 23, 1997
CITIGROUP GLOBAL MARKETS INC.
September 6, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
May 26, 1987 - July 3, 1990
DOMINICK & DICKERMAN LLC
May 4, 1987 - July 1, 1988
DOMIK CORP.
March 5, 1986 - September 1, 1987
REGIONAL CLEARING CORP.
January 27, 1986 - April 23, 1987
GRUNTAL & CO., L.L.C.
November 7, 1984 - December 27, 1985
UBS FINANCIAL SERVICES INC.
June 26, 1984 - November 14, 1984
LEHMAN BROTHERS INC.
February 22, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 7, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
May 19, 1972 - October 23, 1977
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 5
Date: 10/31/1981
Interest Rate Options ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 40
Date: 5/13/1972
Registered Principal ExaminationCurrent Firm
TRAUTMAN WASSERMAN & COMPANY, INC.
CRD#: 33007 / SEC#: , 8-45755
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
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.
