FD
Frederic J. Davis
RAINE SECURITIES LLC
New York, NY 10022
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CRD#: 5763668
FD
Professional summary
Frederic Jay Davis is a registered financial professional currently at RAINE SECURITIES LLC located in New York, New York.
Frederic is registered as a RR (Registered Representative) and started their career in finance in 2011. Frederic has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Frederic Jay Davis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 26, 2014 - Present
RAINE SECURITIES LLC
Office #1: 65 East 55th Street 24th Floor, New York, NY 10022BD
CRD#: 137873
New York, NY
Past
March 25, 2014 - July 31, 2014
FIRST LIBERTIES FINANCIAL
BD
CRD#: 14432
TAMPA, FL
Past
March 11, 2011 - January 29, 2014
CODE ADVISORS LLC
BD
CRD#: 153192
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/30/2019)
RR
Arizona(8/26/2014)
RR
California(8/26/2014)
RR
Colorado(8/26/2014)
RR
Connecticut(8/26/2014)
RR
Delaware(8/26/2014)
RR
District of Columbia(8/26/2014)
RR
Florida(8/26/2014)
RR
Georgia(8/26/2014)
RR
Hawaii(8/26/2014)
RR
Idaho(6/15/2022)
RR
Illinois(6/15/2022)
RR
Maryland(8/26/2014)
RR
Massachusetts(8/26/2014)
RR
Michigan(8/26/2014)
RR
Nevada(6/15/2022)
RR
New Hampshire(6/15/2022)
RR
New Jersey(8/26/2014)
RR
New York(8/26/2014)
RR
North Carolina(6/15/2022)
RR
Ohio(8/27/2014)
RR
Oklahoma(8/26/2014)
RR
Pennsylvania(8/26/2014)
RR
South Dakota(6/15/2022)
RR
Tennessee(9/13/2018)
RR
Texas(8/26/2014)
RR
Virginia(8/26/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RS
RAINE SECURITIES LLC
MILLBRAE CAPITAL LLC | RAINE SECURITIES LLC | OPHIR CAPITAL LLC
CRD#: 137873 / SEC#: , 8-67121
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
65 East 55th Street 24th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 24th Floor, New York, NY 10022
Phone number
(212) 603-5500
Established
Delaware since 08/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAINE ADVISORS LLC | OWNER | |
| CHIANESE, ALFRED JOSEPH III | CHIEF OPERATING OFFICER | 6339436 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GARDNER, BRANDON WADE | PRESIDENT | 5767814 |
| RAVITCH, JOSEPH | CO-CHIEF EXECUTIVE OFFICER | 2504532 |
| RISHER, ANGELA RENEE | CHIEF COMPLIANCE OFFICER | 6676957 |
| SHAW, ANTHONY | FINOP, PRINCIPAL FINANCIAL OFFICER | 7338445 |
| SINE, JEFFREY ALAN | CO-CHIEF EXECUTIVE OFFICER | 1557736 |
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.
