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Frederic Morse Bryant Iii

CRD# 33974·Registered 1960 - 1994
Previously Registered: Being a previously registered professional could mean that Frederic 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.

Professional Summary

Frederic Morse Bryant III, who also goes by Frederic Morse Bryant, was a registered financial advisor. Frederic was a previously registered financial professional and started their career in finance 1960 - 1994. Frederic had worked at 1 firm and has passed the Series 63, PC, Series 1, Series 4 and Series 40 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Frederic Morse Bryant

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

66 years in the financial services industry

Current & Past Employments

ALEX. BROWN & SONS INCORPORATED·CRD# 20
BD
July 21, 1960 - August 8, 1994

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Current Firm

AB
ALEX. BROWN & SONS INCORPORATED

ALEX. BROWN & SONS | ALEX. BROWN & SONS, INC. | ALEX. BROWN & SONS INCORPORATED

CRD#: 20 / SEC#: 8-31213
BD
Terminated by SEC on 02/07/1998

Contact Information

Established

Maryland since 12/14/1983

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1980About the Series 63 exam

PC — AMEX Put and Call Exam

Passed May 1977

Series 1 — Registered Representative Examination

Passed Jul 1960

Series 4 — Registered Options Principal Examination

Passed Sep 1977About the Series 4 exam

Series 40 — Registered Principal Examination

Passed Aug 1973

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CRS (Client Relationship Summary)

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

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