Frederick K. Corea
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 Kenneth Corea was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2000. Frederick had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2015 - January 2, 2019
ROSS, SINCLAIRE & ASSOCIATES, LLC
May 27, 2014 - October 1, 2015
OPPENHEIMER & CO. INC.
August 27, 2007 - April 3, 2014
STERNE, AGEE & LEACH, INC.
January 19, 2007 - August 30, 2007
HILLTOP SECURITIES INC.
March 7, 2003 - December 12, 2006
RBC CAPITAL MARKETS, LLC
April 13, 2000 - March 7, 2003
FIRST INSTITUTIONAL SECURITIES, L.L.C.
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
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
