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LP

Lluis Pedragosa

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CRD#: 5952318
LP

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.

Lluis Pedragosa was a registered financial professional .

Lluis is a previously registered financial professional and started their career in finance in 2011. Lluis had worked at 1 firm and has passed the Series 63 and Series 79 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 24, 2011 - November 27, 2013

FREDERICKS MICHAEL SECURITIES, INC.

BD
CRD#: 46725
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 10/21/2011
Investment Banking Registered Representative Examination

Current Firm

FM
FREDERICKS MICHAEL SECURITIES, INC.
FM VENTURES, INC. | FREDERICKS MICHAEL SECURITIES, INC.

CRD#: 46725 / SEC#: , 8-51512

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
430 Park Avenue 8th Floor, New York, NY 10022
Mailing Address
430 Park Avenue 8th Floor, New York, NY 10022
Phone number
(212) 732-1600
Established
New York since 05/17/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FREDERICKS MICHAEL & CO.SHAREHOLDER
CARABERIS, GEORGE PETERDIRECTOR, SHAREHOLDER, SECRETARY3173570
DAVIES, BLAKE ANTHONYDIRECTOR, SHAREHOLDER1818403
HALL, CAREY MEREDITHDIRECTOR, SHAREHOLDER
NIXON, JON ALANFINOP4710715
SMULEVITZ, CHARLES DAVIDCHIEF COMPLIANCE OFFICER5099387

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.

Company Information

FREDERICKS MICHAEL SECURITIES, INC.

CRD#: 46725

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