Christian L. 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.
Christian Lee Frederick, who also goes by Chris Frederick, Christian Frederick, was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 2015. Christian had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2018 - January 3, 2020
S&A FINANCIAL SERVICES, INC.
June 19, 2015 - July 18, 2016
EDWARD JONES
April 7, 2015 - July 18, 2016
EDWARD JONES
Primary Firm SEC Registration
S&A FINANCIAL SERVICES, INC.
CRD#: 110471 / SEC#: 801-57170
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
S&A FINANCIAL SERVICES, INC.
CRD#: 110471 / SEC#: 801-57170
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,448 |
| AUM (Assets Under Management) | $ 321,680,770 |
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.
