Frederick L. Frey
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 Lloyd Frey, who also goes by Frederick Frey, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 2012. Frederick had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2020 - October 8, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 26, 2020 - October 8, 2020
TD AMERITRADE, INC.
June 25, 2020 - October 8, 2020
TD AMERITRADE, INC.
May 15, 2019 - June 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2019 - June 15, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2015 - April 1, 2019
WELLS FARGO CLEARING SERVICES, LLC
December 24, 2014 - March 23, 2015
TRUIST INVESTMENT SERVICES, INC.
July 2, 2012 - December 2, 2014
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
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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