Frederick F. Ptucha
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 Feodorovitch Ptucha, who also goes by Fred Ptucha, was a registered financial advisor .
Frederick is a previously registered financial advisor and started their career in finance in 1971. Frederick had worked at 8 firms and has passed the Series 66, Series 63, Series 7, PC, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2007 - December 31, 2013
FINANCIAL WEST GROUP
June 28, 2007 - December 31, 2013
FINANCIAL WEST GROUP
October 18, 2005 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
September 5, 2001 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
April 21, 1998 - September 4, 2001
MUTUAL SECURITIES, INC.
November 1, 1993 - March 25, 1998
FIRST ASSOCIATED SECURITIES GROUP, INC.
February 27, 1992 - October 19, 1993
FIRST AFFILIATED SECURITIES
September 4, 1990 - February 11, 1992
WELLS FARGO CLEARING SERVICES, LLC
August 3, 1983 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 24, 1971 - May 15, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/19/1971
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
