Frederic M. Havens
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.
Frederic Michael Havens, who also goes by Frederick Michael Havens, was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1980. Frederic had worked at 10 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2006 - December 21, 2012
GOLD COAST SECURITIES, INC.
February 14, 2003 - December 21, 2005
GOLD COAST SECURITIES, INC.
December 13, 2000 - October 2, 2001
LOCUST STREET SECURITIES, INC.
November 17, 1997 - November 17, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
June 15, 1995 - December 5, 1995
FIMCO SECURITIES GROUP, INC.
May 28, 1992 - December 31, 1994
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 7, 1990 - June 5, 1992
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 1, 1988 - May 13, 1988
MORGAN STANLEY DW INC.
March 31, 1982 - May 1, 1987
E. F. HUTTON & COMPANY INC
January 28, 1982 - April 1, 1982
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
November 24, 1980 - January 17, 1982
MUNICICORP OF CALIFORNIA
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
Current Firm
GOLD COAST SECURITIES, INC.
CRD#: 110925 / SEC#: 801-60090, 8-53148
Contact information
FINRA licenses (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 37,393,957 |
Disclosures
| Regulatory Event | 1 |
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.
