Frederick A. Whitaker
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 Andrew Whitaker III, who also goes by Fred Whitaker, Frederick Andrew Whitaker, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1978. Frederick had worked at 4 firms and has passed the Series 63, Series 5, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1986 - August 26, 1986
JOHNSON, LANE, SPACE, SMITH & CO., INC.
November 19, 1979 - November 26, 1979
LOEB PARTNERS
September 7, 1979 - February 19, 1986
LEHMAN BROTHERS INC.
February 9, 1978 - September 17, 1979
FIRST CITIZENS MUNICIPAL CORPORATION
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
Series 5
Date: 8/13/1985
Interest Rate Options ExaminationCurrent Firm
JOHNSON, LANE, SPACE, SMITH & CO., INC.
CRD#: 472 / SEC#: , 8-741
Contact information
Documents
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.
