Frederic L. Saalwachter
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.
Frederic Lawrence Saalwachter was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1998. Frederic had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2015 - April 1, 2016
STORMHARBOUR SECURITIES LP
April 3, 2014 - June 2, 2015
STORMHARBOUR SECURITIES LP
December 14, 2011 - September 6, 2013
COHEN & COMPANY SECURITIES, LLC
December 1, 2009 - November 22, 2011
MADISON WILLIAMS AND COMPANY
October 19, 2007 - December 16, 2009
SANDERS MORRIS LLC
May 16, 2006 - September 24, 2007
CANACCORD GENUITY LLC
December 8, 1998 - May 10, 2006
SANDERS MORRIS LLC
State Registrations and Notice Filings
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Exams
Series 1
Date: 11/19/1970
Registered Representative ExaminationCurrent Firm
STORMHARBOUR SECURITIES LP
CRD#: 35997 / SEC#: , 8-46999
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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