Frederick W. Rassman
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 W Rassman, who also goes by Shawn Rassman, Frederick W Rassmann, Frederick Rassmann, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2007. Frederick had worked at 5 firms and has passed the Series 63 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
June 15, 2012 - December 17, 2012
CALDWELL INTERNATIONAL SECURITIES
March 10, 2011 - July 6, 2012
PHD CAPITAL
October 19, 2010 - January 10, 2011
FIRST MERGER CAPITAL, INC
October 23, 2008 - March 23, 2009
GUNNALLEN FINANCIAL, INC
January 29, 2008 - October 31, 2008
MAXIM GROUP LLC
November 9, 2007 - February 1, 2008
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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