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Frederick Hamilton Wright

CRD# 713241·Registered 1980 - 2015
Previously Registered: Being a previously registered professional could mean that Frederick 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.

Professional Summary

Frederick Hamilton Wright was a registered financial advisor. Frederick was a previously registered financial professional and started their career in finance 1980 - 2015. Frederick had worked at 6 firms and has passed the Series 63, SIE and Series 1 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

46 years in the financial services industry

Current & Past Employments

FOOTHILL SECURITIES, INC.·CRD# 1027
RIA
Los Altos Hills, CA
March 11, 2008 - July 8, 2015
FOOTHILL SECURITIES, INC.·CRD# 1027
BD
Los Altos Hills, CA
January 8, 2002 - July 8, 2015
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Dallas, TX
February 3, 2000 - July 13, 2000
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Dallas, TX
September 8, 1997 - December 31, 1999
ARAGON FINANCIAL SERVICES, INC.·CRD# 16023
BD
Irvine, CA
August 12, 1992 - December 31, 1995
WADDELL & REED·CRD# 866
BD
Overland Park, KS
April 28, 1986 - May 20, 1992
SIFE·CRD# 3355
BD
April 2, 1984 - April 21, 1986
EQUITEC SECURITIES COMPANY·CRD# 6463
BD
August 7, 1980 - June 6, 1983

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Current Firm

FS
FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

CRD#: 1027 / SEC#: 801-57293, 8-11117
BD
Terminated by SEC on 02/13/2017

Contact Information

Main Address

2900 Lakeside Drive Suite 100, Santa Clara, CA 95054

Established

California since 10/11/1962

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CHIPMAN, STEPHEN HENRYPRESIDENT AND CEO1062136
CUE FINANCIAL GROUPSHAREHOLDER—
KRESGE, RODNEYCCO2611596
WHITE, KARYN MARIEFINOP/CFO1628494

Disclosures

Regulatory Event

5

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2015About the SIE exam

Series 1 — Registered Representative Examination

Passed Jul 1980

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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