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F Frederik Tabi

CRD# 4149151·Registered 2000 - 2020
Previously Registered: Being a previously registered professional could mean that F 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.

Professional Summary

F Frederik Tabi, who also goes by F Frederick Tabi, was a registered financial advisor. F was a previously registered financial professional and started their career in finance 2000 - 2020. F had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

F Frederick Tabi

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

KNOX SECURITIES CORP.·CRD# 127436
BD
Westport, CT
April 18, 2013 - March 13, 2020
MCFARLAND DEWEY SECURITIES CO., LLC·CRD# 25768
BD
New York, NY
January 1, 2010 - January 24, 2013
DAIWA CAPITAL MARKETS AMERICA INC.·CRD# 1576
BD
New York, NY
January 12, 2001 - May 31, 2002
SMBC NIKKO SECURITIES AMERICA, INC.·CRD# 28602
BD
New York, NY
September 14, 2000 - January 3, 2001

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Current Firm

KS
KNOX SECURITIES CORP.

DBA: KNOX & CO. | KNOX SECURITIES CORP.

CRD#: 127436 / SEC#: 8-65998
BD
Terminated by SEC on 03/13/2020

Contact Information

Established

Delaware since 01/29/2003

Firm Type

Corporation

Fiscal Year End

January

Documents

Direct owners and executive officers

NamePositionCRD#
KNOX CAPITAL CORP.PARENT—
CHEN, NAI-CHANGPRESIDENT, TREASURER, SECRETARY & CHIEF COMPLIANCE OFFICER5461541
PARRETT, DANIEL JOSEPHCHAIRMAN4290654

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2009About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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