Frederick L. Stuart
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.
Frederick Lloyd Stuart, who also goes by Fred L. Stuart, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1981. Frederick had worked at 11 firms and has passed the Series 63, SIE, Series 5 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
May 19, 2016 - December 15, 2016
CASTLEOAK SECURITIES, LP
July 1, 2014 - December 31, 2015
WILLIAM BLAIR
February 22, 2005 - June 17, 2014
KEYBANC CAPITAL MARKETS INC.
December 2, 2002 - February 23, 2005
MESIROW FINANCIAL, INC.
October 1, 1998 - October 9, 2002
BANC OF AMERICA SECURITIES LLC
May 8, 1996 - October 1, 1998
BANCAMERICA SECURITIES, INC.
September 24, 1990 - June 6, 1996
MORGAN STANLEY DW INC.
July 26, 1989 - May 31, 1990
KIDDER, PEABODY & CO. INCORPORATED
September 17, 1987 - May 15, 1989
MORGAN STANLEY MARKET PRODUCTS INC.
March 5, 1984 - May 15, 1989
MORGAN STANLEY & CO. LLC
March 23, 1981 - February 13, 1984
BECKER PARIBAS INCORPORATED
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 5
Date: 11/18/1981
Interest Rate Options ExaminationCurrent Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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