Frederick C. Stein
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 Christian Stein, who also goes by Chris Stein, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1997. Frederick had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2008 - April 15, 2021
CONFLUENCE INVESTMENT MANAGEMENT LLC
September 28, 2006 - March 17, 2009
GALLATIN ASSET MANAGEMENT, INC.
January 11, 1999 - October 27, 2005
A. G. EDWARDS & SONS, INC.
February 25, 1997 - September 8, 1998
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CONFLUENCE INVESTMENT MANAGEMENT LLC
CRD#: 146019 / SEC#: 801-68723
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
Current Firm
CONFLUENCE INVESTMENT MANAGEMENT LLC
CRD#: 146019 / SEC#: 801-68723
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,134 |
| AUM (Assets Under Management) | $ 7,251,904,123 |
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.
