Richard C. Fredericks

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CRD#: 807275

Professional summary

Richard Charles Fredericks was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Richard had worked at 12 firms, which includes CAPITAL PATH SECURITIES LLC, S.G. MARTIN SECURITIES LLC, COLIN WINTHROP & CO. INC., NORTHRIDGE CAPITAL CORPORATION, AMERICAN FIRST CAPITAL CORP., BISHOP ROSEN & CO. INC., ALEXANDER WESCOTT & CO. INC., EMPIRE STATE SECURITIES, THE WELLINGTON GROUP INC., MONARCH FUNDING CORP., WILLIS E. BURNSIDE & CO. INC., COLONIAL SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

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

March 11, 2008 - November 25, 2009

CAPITAL PATH SECURITIES, LLC

CRD#: 104363

LEVITTOWN, NY

Past

February 13, 2003 - February 22, 2008

S.G. MARTIN SECURITIES LLC

CRD#: 46908

JERICHO, NY

Past

April 11, 2000 - February 6, 2003

COLIN WINTHROP & CO., INC.

CRD#: 26012

JERICHO, NY

Past

December 17, 1999 - April 20, 2000

NORTHRIDGE CAPITAL CORPORATION

CRD#: 16467

MELVILLE, NY

Past

July 14, 1999 - December 7, 1999

AMERICAN FIRST CAPITAL CORP.

CRD#: 43751

MIAMI, FL

Past

January 4, 1999 - July 12, 1999

BISHOP, ROSEN & CO., INC.

CRD#: 1248

NEW YORK, NY

Past

August 11, 1998 - December 31, 1998

ALEXANDER, WESCOTT, & CO., INC.

CRD#: 35935

UTICA, NY

Past

January 6, 1997 - August 18, 1998

COLIN WINTHROP & CO., INC.

CRD#: 26012

JERICHO, NY

Past

August 26, 1992 - January 8, 1997

EMPIRE STATE SECURITIES

CRD#: 17549

GREAT NECK, NY

Past

January 1, 1987 - August 20, 1992

THE WELLINGTON GROUP, INC.

CRD#: 17814

NEW YORK, NY

Past

December 5, 1977 - June 29, 1990

MONARCH FUNDING CORP.

CRD#: 2808

Past

March 24, 1977 - August 25, 1978

WILLIS E. BURNSIDE & CO., INC.

CRD#: 1354

Past

April 24, 1975 - April 22, 1977

COLONIAL SECURITIES, INC.

CRD#: 3013

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

Series 63

Date: 4/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 9/10/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/19/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/1992

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/21/1985

Registered Options Principal Examination

Current Firm

CAPITAL PATH SECURITIES, LLC

CAPITAL PATH SECURITIES, LLC | SFS CAPITAL, LLC

CRD#: 104363 / SEC#: , 8-52824

Terminated by SEC on 10/11/2014

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Contact information

Main Address

Mailing Address

Phone number

Established

Connecticut since 08/07/2000

Firm type

Limited Liability Company

Fiscal year end

September

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DAVIS, WILLIAM JOHN	PRESIDENT / CHIEF COMPLIANCE OFFICER / ROP	1247007
GEORGE, KENNETH RONALD	FINANCIAL OPERATIONS PRINCIPAL	2643369

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

Richard C. Fredericks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

S.G. MARTIN SECURITIES LLC

COLIN WINTHROP & CO., INC.

NORTHRIDGE CAPITAL CORPORATION

AMERICAN FIRST CAPITAL CORP.

BISHOP, ROSEN & CO., INC.

ALEXANDER, WESCOTT, & CO., INC.

COLIN WINTHROP & CO., INC.

EMPIRE STATE SECURITIES

THE WELLINGTON GROUP, INC.

MONARCH FUNDING CORP.

WILLIS E. BURNSIDE & CO., INC.

COLONIAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/1985

Series 55

Date: 9/10/1999

Series 7

Date: 4/19/1975

Series 24

Date: 9/14/1992

Series 4

Date: 5/21/1985

Current Firm

CAPITAL PATH SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPITAL PATH SECURITIES, LLC

TRUST BUT VERIFY

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