Frederick W. Shultz
Professional summary
Frederick William Shultz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frederick is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Frederick had worked at 2 firms, which includes BROOKSTONE SECURITIES INC., FFP SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2008 - November 24, 2009
BROOKSTONE SECURITIES, INC.
June 20, 2007 - November 24, 2009
BROOKSTONE SECURITIES, INC.
December 11, 2006 - June 28, 2007
FFP SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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