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FF

Fredric J. French

Some features on this profile are disabled
CRD#: 727099
FF

Professional summary

Fredric James French was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Fredric is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Fredric had worked at 5 firms, which includes LAKEVIEW SECURITIES CORPORATION, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., SIGNATOR INVESTORS INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 7, 1994 - May 6, 1997

LAKEVIEW SECURITIES CORPORATION

BD
CRD#: 17500
CHICAGO, IL
Past

November 19, 1990 - June 1, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

November 19, 1990 - June 1, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 27, 1981 - October 12, 1987

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

March 27, 1981 - November 4, 1987

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/13/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/13/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/16/1990
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 8/11/1982
Direct Participation Programs Representative Examination

Current Firm

LS
LAKEVIEW SECURITIES CORPORATION
LAKEVIEW SECURITIES CORPORATION | PERFORMANCE ANALYTICS, INC.

CRD#: 17500 / SEC#: , 8-35330

BD
Terminated by SEC on 02/17/2003
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 12/18/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GOLEMBO, LESLIE IRWINSECY,TREA,DIR224721
MOSESON, ROBERT PAULPRESIDENT,DIR341305
SCHWARTZ, HORACE JOSEPHCHIEF FINANCIAL OFFICER1883437

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.

Company Information

LAKEVIEW SECURITIES CORPORATION

CRD#: 17500

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