Jay M. Frederick

ETHOS CAPITAL GROUP

Little Rock, AR 72212

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CRD#: 4418720

Professional summary

Jay Michael Frederick, CFP®, who also goes by Jay Frederick, is a registered financial advisor currently at ETHOS CAPITAL GROUP, LLC located in Little Rock, Arkansas.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Jay has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Frederick

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Michael Frederick's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

June 1, 2009 - Present

ETHOS CAPITAL GROUP, LLC

Office #1: 3801 Woodland Heights Rd Suite 125f, Little Rock, AR 72212

RIA

CRD#: 149579

Little Rock, AR

Past

May 30, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JONESBORO, AR

Past

May 30, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JONESBORO, AR

Past

April 2, 2007 - June 3, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

JONESBORO, AR

Past

April 2, 2007 - June 3, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

JONESBORO, AR

Past

September 23, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

JONESBORO, AR

Past

August 13, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

JONESBORO, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(6/1/2009)

IAR

Louisiana
(9/27/2021)

IAR

Texas
(10/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 10/8/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/10/2001

General Securities Representative Examination

Current Firm

ETHOS CAPITAL GROUP, LLC

ETHOS CAPITAL GROUP, LLC | NAME 820

CRD#: 149579 / SEC#: 801-70029

RIA

Registered Investment Advisory firm - (6/7/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (4/5/2012 Approved)

Louisiana

Registered Investment Advisory firm - (9/27/2021 Approved)

Texas

Registered Investment Advisory firm - (10/8/2021 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3801 Woodland Heights Rd Suite 125f, Little Rock, AR 72212

Mailing Address

Phone number

(501) 708-0210

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	329
AUM (Assets Under Management)	$ 75,081,739

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.

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Firm Stability Insights

Jay M. Frederick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Michael Frederick's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETHOS CAPITAL GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2001

Series 31

Date: 10/8/2001

Series 7

Date: 8/10/2001

Current Firm

ETHOS CAPITAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ETHOS CAPITAL GROUP, LLC

TRUST BUT VERIFY

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