Michael Frederick
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.
Michael Frederick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2009. Michael had worked at 1 firm and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2009 - November 10, 2010
JUPITER DISTRIBUTION PARTNERS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
JUPITER DISTRIBUTION PARTNERS, INC.
CRD#: 130850 / SEC#: , 8-66399
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 401KEXCHANGE, INC. | SHAREHOLDER | |
| BARSTEIN, DIANE N. | SECRETARY | |
| BARSTEIN, FREDERICK D. | PRESIDENT/CEO/DIRECTOR/CHIEF COMPLIANCE OFFICER | |
| MACLEOD, LEE JAMES | FINOP | 2389604 |
Disclosures
| Regulatory Event | 1 |
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.
