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Frederich Conrad Voelker

CRD# 455239·Registered 1974 - 1993
Previously Registered: Being a previously registered professional could mean that Frederich 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

Frederich Conrad Voelker, who also goes by Frederick Conrad Voelker, Fritz Voelker, was a registered financial advisor. Frederich was a previously registered financial professional and started their career in finance 1974 - 1993. Frederich had worked at 11 firms and has passed the Series 63, Series 1 and Series 24 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

Frederick Conrad Voelker, Fritz Voelker

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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

52 years in the financial services industry

Current & Past Employments

LUMIERE SECURITIES, INC.·CRD# 13414
BD
Denver, CO
September 14, 1992 - November 22, 1993
LP CHARLES & COMPANY, INC.·CRD# 27020
BD
June 25, 1992 - August 3, 1992
FIRST AMERICA EQUITIES CORP.·CRD# 7652
BD
December 23, 1989 - January 2, 1990
ADVENT SECURITIES, INC.·CRD# 16499
BD
September 28, 1989 - December 23, 1989
INTERCAP INVESTMENT GROUP, INC.·CRD# 17227
BD
May 17, 1988 - June 21, 1989
SECURITIES GROUP OF NORTH AMERICA, INC.·CRD# 15155
BD
September 8, 1987 - July 29, 1988
FIRST UNITED SECURITIES GROUP OF CALIFORNIA·CRD# 10619
BD
August 14, 1984 - August 22, 1986
WALFORD, DEMARET & CO., INC.·CRD# 7985
BD
December 8, 1982 - December 20, 1982
B. J. LEONARD AND COMPANY, INC.·CRD# 62
BD
June 6, 1982 - July 8, 1982
INTERNATIONAL SECURITIES, INC.·CRD# 7051
BD
July 21, 1980 - February 25, 1982
B. J. LEONARD AND COMPANY, INC.·CRD# 62
BD
August 18, 1977 - December 8, 1988
BOETTCHER & COMPANY, INC.·CRD# 101
BD
June 18, 1974 - September 19, 1977

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Current Firm

LS
LUMIERE SECURITIES, INC.

AFFILIATED INVESTMENT CORPORATION | LUMIERE SECURITIES, INC. | LIK SECURITIES

CRD#: 13414 / SEC#: 8-29275
BD
Cancelled by SEC on 06/13/2003

Contact Information

Established

Colorado since 12/06/1982

Firm Type

Corporation

Fiscal Year End

March

Documents

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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 Aug 1981About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Jun 1974

Series 24 — General Securities Principal Examination

Passed Jan 1981About the Series 24 exam

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CRS (Client Relationship Summary)

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

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