Frederick D. Houck
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 David Houck, who also goes by Frederick D Houck, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2003. Frederick had worked at 3 firms and has passed the Series 66, 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
July 23, 2007 - June 10, 2016
FREEDOM INVESTORS CORP.
April 4, 2007 - June 10, 2016
FREEDOM INVESTORS CORP.
February 1, 2006 - March 23, 2007
GUNNALLEN FINANCIAL, INC
February 1, 2006 - March 23, 2007
GUNNALLEN FINANCIAL, INC
October 31, 2003 - January 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 2003 - January 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
FREEDOM INVESTORS CORP.
CRD#: 23714 / SEC#: 801-39223, 8-40671
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
