Lloyd K. Fretz
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.
Lloyd Keith Fretz was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 2002. Lloyd had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2003 - August 12, 2013
THE KEYSTONE EQUITIES GROUP, L.P.
August 12, 2002 - May 5, 2003
EMERGING GROWTH EQUITIES, LTD.
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
THE KEYSTONE EQUITIES GROUP, L.P.
CRD#: 127529 / SEC#: , 8-66011
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
