Fred L. Sanderson
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.
Fred L Sanderson, who also goes by Freddie Lee Sanderson Jr, Fredie Lee Sanderson Jr, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1970. Fred had worked at 6 firms and has passed the Series 63, Series 7, Series 6, Series 1, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1995 - March 22, 2002
FFP SECURITIES, INC.
May 31, 1989 - January 13, 1995
FIRST AFFILIATED SECURITIES
May 26, 1989 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
August 30, 1978 - April 7, 1989
A. G. EDWARDS & SONS, INC.
May 4, 1971 - September 26, 1978
EDWARD JONES
February 19, 1970 - June 1, 1971
CORNERSTONE FINANCIAL SERVICES, 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
Series 1
Date: 12/14/1960
Registered Representative ExaminationSeries 8
Date: 2/24/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 11/10/1966
General Securities Principal ExaminationCurrent Firm
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
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.
