John N. Fredericks
Professional summary
John Noble Fredericks, who also goes by John Noble Fredericks, is a registered financial professional currently at NEEDHAM & COMPANY, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 25, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Noble Fredericks's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2025 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177June 25, 2019 - September 29, 2025
GUGGENHEIM SECURITIES, LLC
April 9, 2015 - July 2, 2019
COWEN AND COMPANY
February 23, 2010 - September 9, 2013
BMO CAPITAL MARKETS CORP.
June 5, 2008 - February 11, 2010
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 27, 2006 - June 12, 2008
J.P. MORGAN SECURITIES LLC
November 14, 2002 - April 28, 2006
INSTITUTIONAL DIRECT INC.
March 1, 2002 - April 19, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
June 7, 1999 - April 30, 2001
ABN AMRO INCORPORATED
August 26, 1998 - June 3, 1999
HSBC SECURITIES (USA) INC.
Primary Firm SEC Registration
NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/5/2025)
(11/5/2025)
(11/5/2025)
(11/5/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 25
Date: 1/8/2004
NYSE Trading Assistant ExaminationSeries 55
Date: 7/31/2001
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEEDHAM HOLDINGS, LLC | MEMBER | |
| IACOVONE, JACK JAMES | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | 2877398 |
| PRIOR, JOHN JOSEPH JR | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | 1076802 |
| ABBRUZZESE, JAMES MICHAEL | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | 2960715 |
| FIORDALISO, ROBERT JOSEPH | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 2518397 |
| LAUFER, DAVID MICHAEL | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | 4336854 |
| MALIK, ANDREW JOSEPH | MANAGING DIRECTOR, CHAIRMAN | 317860 |
| MALLOY, JOHN PATRICK | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 5322002 |
| MALONEY, THOMAS ANTHONY | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 2386331 |
| MERLINO, SALVATORE ANTHONY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 4397078 |
Disclosures
| Regulatory Event | 27 |
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.
