FR
Frederic L. Roebke
MARTIN NELSON & CO.
Seattle, WA 98109
Some features on this profile are disabled
CRD#: 3257470
FR
Professional summary
Frederic Louis Roebke is a registered financial professional currently at MARTIN NELSON & CO., INC. located in Seattle, Washington.
Frederic is registered as a RR (Registered Representative) and started their career in finance in 1999. Frederic has worked at 1 firm and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Frederic Louis Roebke's 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®
NoneExperience
Current
August 3, 1999 - Present
MARTIN NELSON & CO., INC.
Office #1: 1500 Westlake Ave N # 200, Seattle, WA 98109Office #2: 1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031RIA
BD
CRD#: 2903
Seattle, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MARTIN NELSON & CO., INC.
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
RIA
Registered Investment Advisory firm - SEC (1/11/2022 Approved)Oregon
Registered Investment Advisory firm - SEC (11/24/2020 Terminated)Washington
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/12/2005)
RR
California(2/1/2000)
RR
Florida(8/21/2018)
RR
Hawaii(7/10/2003)
RR
Indiana(7/30/2018)
RR
Michigan(1/20/2017)
RR
Oregon(4/12/2000)
RR
Texas(4/12/2000)
RR
Washington(9/7/1999)
RR
Wisconsin(1/20/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MARTIN NELSON & CO., INC.
MARTIN NELSON & CO., INC.
CRD#: 2903 / SEC#: 801-123009, 8-831
RIA
Registered Investment Advisory firm - SEC (1/11/2022 Approved)Oregon
Registered Investment Advisory firm - SEC (11/24/2020 Terminated)Washington
Registered Investment Advisory firm - SEC (2/14/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031
Mailing Address
1500 Westlake Ave N. Ste 200, Seattle, WA 98109-3031
Phone number
(206) 682-6261
Established
Washington since 04/01/1954
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
7
SEC notice filing (9 States and Territories)
FINRA licenses (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 392 |
| AUM (Assets Under Management) | $ 260,010,706 |
Disclosures
| Regulatory Event | 4 |
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.
