Frieda H. Lewis
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.
Frieda Helene Lewis, who also goes by Frieda Zarembski Brown, Frieda Brown, Frieda Helene Zarembski, Frieda Zarembski, was a registered financial professional .
Frieda is a previously registered financial professional and started their career in finance in 1981. Frieda had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2013 - September 11, 2015
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
April 28, 2008 - June 1, 2012
APEX CLEARING CORPORATION
March 11, 2004 - May 1, 2006
IFMG SECURITIES, INC.
March 8, 2004 - May 1, 2006
IFMG SECURITIES, INC.
July 14, 2003 - February 18, 2004
BNY MELLON SECURITIES LLC
June 11, 2002 - February 18, 2004
BNY MELLON SECURITIES LLC
November 17, 1999 - October 10, 2000
BANKBOSTON INVESTOR SERVICES, INC.
August 14, 1998 - November 6, 2000
FLEET ENTERPRISES, INC.
August 11, 1998 - November 13, 2000
FIS SECURITIES, INC.
April 14, 1998 - October 13, 2000
QUICK & REILLY, INC.
June 5, 1989 - October 30, 1998
FLEET CLEARING CORPORATION
April 13, 1981 - April 8, 1998
FLEET BROKERAGE SECURITIES, 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 12
Date: 5/15/1982
NYSE Branch Manager ExaminationCurrent Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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