Fred M. Demarest
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.
Fred Maurice Demarest JR, who also goes by Frederick Maurice Demarest Jr., was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1969. Fred had worked at 5 firms and has passed the Series 63, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2016 - June 20, 2016
ALLY INVEST SECURITIES LLC
March 28, 2002 - March 29, 2016
MB TRADING
February 19, 1997 - March 28, 2002
DONALD & CO. SECURITIES INC.
April 30, 1971 - February 25, 1997
DICKINSON & CO.
June 27, 1969 - June 5, 1971
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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 1
Date: 8/5/1966
Registered Representative ExaminationSeries 40
Date: 2/13/1978
Registered Principal ExaminationCurrent Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
