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FL

Frederick Lu

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CRD#: 3140030
FL

Professional summary

Frederick Lu was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frederick is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Frederick had worked at 3 firms, which includes CAMDEN SECURITIES INC., NATIONAL CLEARING CORP., WOODBURY FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fred Lu

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 16, 2000 - December 19, 2000

CAMDEN SECURITIES, INC.

BD
CRD#: 18305
LOS ANGELES, CA
Past

January 12, 1999 - September 22, 2000

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA
Past

November 4, 1998 - December 21, 1998

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

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

State Security Law Exam
RR
Series 63
Date: 1/20/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/2/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CS
CAMDEN SECURITIES, INC.
CAMDEN SECURITIES, INC. | PENSION SECURITIES CORP. | PENSION INVESTORS SECURITIES CORPORATION | HAMPTON SECURITIES, INC.

CRD#: 18305 / SEC#: , 8-36436

BD
Terminated by SEC on 11/29/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/11/1986
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ANTHONY, PATRICK ALEXANDERCEO AND FINANCIAL OFFICER2080102
ARNOLD, MICHAEL JAMESSENIOR VICE PRESIDENT2704969
BECK, KAREN FULLERDIRECTOR, SROP2360589
SEELIG, WILLIAM SLOANPASSIVE INVESTOR4652150

Disclosures

Regulatory Event5

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

CAMDEN SECURITIES, INC.

CRD#: 18305

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