Barry G. Fredrickson
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.
Barry Gordon Fredrickson was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1980. Barry had worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 79, Series 55, Series 7, Series 10, Series 9, Series 8, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2020 - January 16, 2023
HUNTINGTON SECURITIES, INC.
September 29, 2005 - February 24, 2020
THE HUNTINGTON INVESTMENT COMPANY
January 11, 2005 - September 29, 2005
HUNTINGTON CAPITAL CORP.
January 16, 1995 - November 10, 2004
KEYBANC CAPITAL MARKETS INC.
September 1, 1994 - November 30, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
January 4, 1990 - September 1, 1994
HAMILTON INVESTMENTS, INC.
December 11, 1986 - January 6, 1990
RCL NORTHWEST, INC.
October 24, 1980 - October 31, 1986
WALL STREET WEST, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/1/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 4/16/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HUNTINGTON SECURITIES, INC.
CRD#: 2261 / SEC#: , 8-5761
Contact information
FINRA licenses (29 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNTINGTON BANCSHARES INCORPORATED | DIRECT OWNER | |
| BEEKMAN, TODD ANDREW | DIRECTOR | 6291198 |
| BORRELLI, MARK ROBERT | GENERAL COUNSEL/SECRETARY | 6803711 |
| COSTANZO, SAMANTHA ANN | DIRECTOR | 4133695 |
| DIBOWSKI, TERRA | HEAD OF BROKERAGE OPERATIONS | 5468840 |
| FITZSIMMONS, DAVID RAYMOND | HEAD OF INSTITUTIONAL SALES & TRADING, DIRECTOR | 4245434 |
| HERBERT, KATHERINE ELEANOR | CONTROLLER/FINOP | 6412263 |
| KLEINMAN, SCOTT DAVID | DIRECTOR | 2357636 |
| MILCETICH, MATTHEW LOUIS | PRESIDENT | 6419334 |
| SZWAGULAK, JOHN W III | CHIEF COMPLIANCE OFFICER | 4033023 |
| WALTHER, KATHLEEN | DIRECTOR | 7858303 |
Disclosures
| Regulatory Event | 8 |
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.
