Frederick J. Wertlieb
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 Joel Wertlieb, who also goes by Fred Wertlieb, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1968. Frederick had worked at 14 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2015 - October 9, 2023
THE LEADERS GROUP, INC.
September 4, 2009 - October 30, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 23, 2008 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 15, 2002 - April 15, 2008
OSAIC FS, INC.
June 13, 2000 - December 31, 2001
VERAVEST INVESTMENTS, INC.
July 24, 1995 - June 24, 2003
OWR EQUITY CORP.
November 19, 1989 - May 15, 2000
OSAIC WEALTH, INC.
January 12, 1984 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 22, 1975 - January 20, 1976
MHL INVESTMENTS
April 1, 1975 - October 30, 1977
SWANTON SECURITIES, INC.
August 9, 1971 - February 14, 1984
TOWER SQUARE SECURITIES, INC.
June 28, 1971 - November 26, 1976
THE THERMOPYLAE GROUP, INC.
May 15, 1970 - June 17, 1972
HOME LIFE INSURANCE COMPANY
December 2, 1968 - October 6, 1976
KLS INVESTORS, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 11/25/1968
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
