Fredric C. Harper
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.
Fredric Cooke Harper, CFP® was a registered financial professional .
Fredric is a previously registered financial professional and started their career in finance in 2006. Fredric 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
Start date: 2016
Experience
July 16, 2020 - December 31, 2021
PURSHE KAPLAN STERLING INVESTMENTS
May 26, 2020 - August 15, 2022
THRIVENT ADVISOR NETWORK, LLC
January 11, 2006 - July 15, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
January 1, 2006 - July 15, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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