Fred R. Luthy
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.
Fred Richard Luthy was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1981. Fred had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
January 8, 1998 - November 21, 2000
JOSEPH DILLON & COMPANY INC.
October 2, 1990 - October 27, 1997
CORTLANDT CAPITAL CORPORATION
June 27, 1987 - June 29, 1990
LOMBARD SECURITIES CORP.
March 26, 1985 - July 23, 1987
GALLANT SECURITIES, INC.
January 19, 1983 - March 15, 1985
KUHNS BROTHERS & LAIDLAW, INC.
April 8, 1981 - January 21, 1983
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPH DILLON & COMPANY INC.
CRD#: 35220 / SEC#: , 8-46589
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 11 |
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.
