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DF

Diane M. Fredricks

MOUNTAINSIDE SECURITIES LLC
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 2918842
DF

Professional summary

Diane Marie Fredricks, who also goes by Diane Marie Burgaretta, is a registered financial professional currently at MOUNTAINSIDE SECURITIES LLC located in Summit, New Jersey.

Diane is registered as a RR (Registered Representative) and started their career in finance in 2012. Diane has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diane Marie Burgaretta

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diane Marie Fredricks's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 8, 2019 - Present

MOUNTAINSIDE SECURITIES LLC

Office #1: 450 Springfield Avenue Suite 201, Summit, NJ 07901Office #2: 450 Springfield Avenue, Suite 201, Summit, NJ 07901
BD
CRD#: 297949
Summit, NJ
Past

January 8, 2019 - February 21, 2019

W. H. MELL ASSOCIATES, INC.

BD
CRD#: 23635
SUMMIT, NJ
Past

June 18, 2012 - December 31, 2018

W. H. MELL ASSOCIATES, INC.

BD
CRD#: 23635
SUMMIT, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 6/15/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MOUNTAINSIDE SECURITIES LLC
MOUNTAINSIDE SECURITIES LLC

CRD#: 297949 / SEC#: , 8-70157

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
450 Springfield Avenue, Suite 201, Summit, NJ 07901
Mailing Address
450 Springfield Avenue, Suite 201, Summit, NJ 07901
Phone number
(908) 277-2500
Established
Delaware since 06/07/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
POSNER, RYAN KEITHMANAGING MEMBER1731934
BEATON, DANIEL STEWARTFINANCIAL AND OPERATIONS PRINCIPAL4240769
BROWN, ELIZABETH PARKECHIEF OPERATING OFFICER1850514
CORNELL, MICHAEL HENDERSONCHIEF COMPLIANCE OFFICER2740653

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.

Company Information

MOUNTAINSIDE SECURITIES LLC

CRD#: 297949Summit, NJ 07901

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