Fred A. Princiotta
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 Anthony Princiotta, who also goes by Frederick A Princiotta, Frederick Anthony Princiotta, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1980. Fred had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2014 - March 7, 2014
THE RETIREMENT GROUP, LLC
December 2, 2013 - November 21, 2014
FSC SECURITIES CORPORATION
January 4, 2007 - December 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2007 - December 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 9, 2006 - September 29, 2006
FIRST WALL STREET CORP.
February 8, 2006 - September 29, 2006
FIRST WALL STREET CORP.
October 16, 2002 - February 6, 2006
UBS FINANCIAL SERVICES INC.
October 16, 2002 - February 6, 2006
UBS FINANCIAL SERVICES INC.
September 20, 2001 - August 9, 2002
UBS FINANCIAL SERVICES INC.
May 4, 2001 - August 9, 2002
UBS FINANCIAL SERVICES INC.
July 31, 1993 - March 16, 2001
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
June 6, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
April 2, 1985 - November 29, 1985
LEHMAN BROTHERS INC.
October 26, 1984 - February 19, 1985
TD AMERITRADE, INC.
July 22, 1980 - August 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 15
Date: 3/8/1994
Foreign Currency Options ExaminationSeries 5
Date: 2/23/1994
Interest Rate Options ExaminationSeries 8
Date: 5/31/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE RETIREMENT GROUP, LLC
CRD#: 148296 / SEC#: 801-69578
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,773 |
| AUM (Assets Under Management) | $ 544,452,358 |
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.
