FA
Fredric C. Apter
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CRD#: 6721
FA
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.
Fredric Charles Apter was a registered financial professional .
Fredric is a previously registered financial professional and started their career in finance in 1971. Fredric had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 4 and Series 40 exams.
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.
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®
NoneExperience
Past
August 29, 2003 - April 9, 2021
1ST DISCOUNT BROKERAGE, INC.
BD
CRD#: 39164
LAKE WORTH, FL
Past
June 9, 1998 - September 2, 2003
WINCHESTER INVESTMENT SECURITIES, INC.
BD
CRD#: 28543
OVERLAND PARK, KS
Past
May 8, 1995 - April 1, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
December 17, 1992 - August 19, 1998
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
NEW YORK, NY
Past
November 13, 1992 - August 25, 2004
APTER, FREDRIC CHARLES
BD
CRD#: 32834
NEW YORK, NY
Past
December 14, 1982 - December 4, 1992
BLUMENTHAL SECURITIES, INC.
BD
CRD#: 1262
Past
October 11, 1979 - May 10, 1981
GILDER GAGNON HOWE & CO. LLC
BD
CRD#: 2002
Past
July 7, 1976 - March 10, 1977
FRONT STREET SECURITIES, INC
BD
CRD#: 6766
Past
January 31, 1975 - August 20, 1976
BEDFORD PARTNERS
BD
CRD#: 6804
Past
February 26, 1971 - July 26, 1974
FREDIC CHARLES APTER
BD
CRD#: 1000001
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
1D
1ST DISCOUNT BROKERAGE, INC.
1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
RIA
Registered Investment Advisory firm - SEC (6/12/2025 Approved)Alabama
Registered Investment Advisory firm - SEC (2/25/2005 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/2/2025 Terminated)California
Registered Investment Advisory firm - SEC (7/31/2025 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/11/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (7/1/2025 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/9/2004 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/2/2007 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/1/2025 Terminated)New Jersey
Registered Investment Advisory firm - SEC (7/17/2025 Terminated)New York
Registered Investment Advisory firm - SEC (4/7/2005 Cancelled)Pennsylvania
Registered Investment Advisory firm - SEC (7/2/2025 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (7/21/2025 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/2/2025 Terminated)Texas
Registered Investment Advisory firm - SEC (7/1/2025 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/2/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 6/10/1983
AMEX Put and Call ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 1/25/1971
Registered Principal ExaminationCurrent Firm
1D
1ST DISCOUNT BROKERAGE, INC.
1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
RIA
Registered Investment Advisory firm - SEC (6/12/2025 Approved)Alabama
Registered Investment Advisory firm - SEC (2/25/2005 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/2/2025 Terminated)California
Registered Investment Advisory firm - SEC (7/31/2025 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/11/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (7/1/2025 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/9/2004 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/2/2007 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/1/2025 Terminated)New Jersey
Registered Investment Advisory firm - SEC (7/17/2025 Terminated)New York
Registered Investment Advisory firm - SEC (4/7/2005 Cancelled)Pennsylvania
Registered Investment Advisory firm - SEC (7/2/2025 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (7/21/2025 Terminated)Tennessee
Registered Investment Advisory firm - SEC (7/2/2025 Terminated)Texas
Registered Investment Advisory firm - SEC (7/1/2025 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/2/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467
Mailing Address
8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467
Phone number
(561) 515-3200
Established
Florida since 07/14/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
