Fredric P. Sapirstein
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.
Fredric Paul Sapirstein, who also goes by Fred Sapirstein, was a registered financial professional .
Fredric is a previously registered financial professional and started their career in finance in 1968. Fredric had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 41, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2014 - April 13, 2016
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
October 10, 1996 - September 3, 2002
ITG EXECUTION SERVICES, INC.
December 9, 1994 - September 17, 1996
J.P. MORGAN SECURITIES LLC
March 2, 1993 - November 28, 1994
BROKER DEALER FINANCIAL SERVICES CORP.
May 31, 1990 - June 11, 1990
LEWCO SECURITIES CORP.
March 15, 1979 - July 17, 1986
WERTHEIM & CO.
March 8, 1972 - March 7, 1991
SCHRODER & CO. INC.
July 10, 1968 - January 25, 1972
WERTHEIM & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 41
Date: 7/16/1979
NYSE Allied Member ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 8/24/1964
Registered Representative ExaminationSeries 40
Date: 5/27/1975
Registered Principal ExaminationCurrent Firm
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD#: 135131 / SEC#: , 8-66889
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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