David G. Frederick
Professional summary
David George Frederick, who also goes by David George Frederick, David Frederick, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Morristown, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 2007. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David George Frederick's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2020 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #1: 445 South Street, Morristown, NJ 07960August 30, 2016 - August 5, 2019
KESTRA ADVISORY SERVICES, LLC
August 25, 2016 - August 5, 2019
KESTRA INVESTMENT SERVICES, LLC
October 12, 2007 - July 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2007 - July 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2020)
(1/27/2020)
(1/27/2020)
(1/31/2020)
(7/6/2021)
Exams
FINRA
Current Firm
MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
