Frederick W. Wall
Professional summary
Frederick William Wall was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frederick is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Frederick had worked at 25 firms, which includes CHASE INVESTMENT SERVICES CORP., CETERA WEALTH SERVICES LLC, CAPITAL PLANNING ASSOCIATES INC., FREETRADE.COM INC., PARAGON CAPITAL MARKETS INC., ROYAL PALM INVESTMENTS LTD., MEYERS POLLOCK ROBBINS INC., ACUMENT SECURITIES INC., ROBERT THOMAS SECURITIES INC, MALONE & ASSOCIATES INC., THE STUART-JAMES COMPANY INCORPORATED, FIRST EAGLE INC., MLB INVESTMENTS LTD., PAULSON INVESTMENT COMPANY LLC, NETWORK 1 FINANCIAL SECURITIES INC., INTEGRATED RESOURCES EQUITY CORPORATION, REICH & CO. INC., INDIVIDUAL'S SECURITIES LTD., HAMILTON GRANT & COMPANY INC., PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC., BROOKS WEINGER ROBBINS & LEEDS INC., EQUITIES INTERNATIONAL SECURITIES INC., EQUITABLE SECURITIES OF NEW YORKINC., NEW ENGLAND SECURITIES, FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 1999 - January 10, 2000
CHASE INVESTMENT SERVICES CORP.
August 28, 1997 - December 22, 1997
CETERA WEALTH SERVICES, LLC
March 20, 1996 - April 8, 1997
CAPITAL PLANNING ASSOCIATES, INC.
November 13, 1995 - January 15, 1996
FREETRADE.COM, INC.
December 12, 1994 - March 23, 1995
PARAGON CAPITAL MARKETS, INC.
February 15, 1994 - November 28, 1994
ROYAL PALM INVESTMENTS, LTD.
October 1, 1993 - February 3, 1994
MEYERS POLLOCK ROBBINS, INC.
May 28, 1992 - September 20, 1993
ACUMENT SECURITIES, INC.
March 25, 1991 - March 23, 1992
ROBERT THOMAS SECURITIES, INC
August 7, 1990 - February 22, 1991
MALONE & ASSOCIATES, INC.
April 18, 1990 - July 24, 1990
THE STUART-JAMES COMPANY, INCORPORATED
March 30, 1990 - April 9, 1990
FIRST EAGLE, INC.
January 25, 1990 - March 8, 1990
MLB INVESTMENTS, LTD.
November 20, 1989 - January 2, 1990
PAULSON INVESTMENT COMPANY LLC
October 2, 1989 - November 27, 1989
NETWORK 1 FINANCIAL SECURITIES INC.
July 31, 1989 - October 9, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 26, 1989 - August 1, 1989
REICH & CO., INC.
March 27, 1989 - October 9, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 8, 1988 - April 6, 1989
INDIVIDUAL'S SECURITIES LTD.
January 6, 1988 - April 19, 1988
HAMILTON, GRANT & COMPANY, INC.
September 15, 1987 - December 4, 1987
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
November 3, 1986 - September 12, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
July 29, 1986 - November 13, 1986
EQUITIES INTERNATIONAL SECURITIES, INC.
May 20, 1986 - July 28, 1986
EQUITABLE SECURITIES OF NEW YORK,INC.
February 3, 1984 - April 15, 1986
NEW ENGLAND SECURITIES
October 6, 1980 - April 28, 1983
FORESTERS FINANCIAL SERVICES, INC.
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: 9/29/1980
Registered Representative ExaminationCurrent Firm
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
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