Frederick S. Childers
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 S Childers, who also goes by Frederick Stanley Childers, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2000. Frederick had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2016 - December 8, 2016
HARRISDIRECT LLC
February 23, 2016 - December 8, 2016
E*TRADE SECURITIES LLC
November 11, 2014 - May 5, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2014 - May 5, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2012 - October 23, 2014
UBS FINANCIAL SERVICES INC.
March 16, 2012 - October 23, 2014
UBS FINANCIAL SERVICES INC.
April 25, 2006 - January 6, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 1, 2005 - January 6, 2011
TD AMERITRADE, INC.
December 1, 2005 - January 6, 2011
TD AMERITRADE, INC.
December 2, 2003 - December 6, 2005
CROWELL, WEEDON & CO.
September 20, 2001 - December 15, 2003
UBS FINANCIAL SERVICES INC.
February 8, 2000 - December 15, 2003
UBS FINANCIAL SERVICES INC.
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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
