Frederick D. Mckenzie
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 David Mckenzie was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1975. Frederick had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2008 - June 16, 2015
BROADSTONE SECURITIES
November 5, 2003 - August 11, 2008
WRP INVESTMENTS, INC.
December 20, 2001 - September 30, 2003
USALLIANZ SECURITIES, INC.
January 26, 2001 - July 20, 2001
NEW ENGLAND SECURITIES
July 7, 1997 - December 31, 2000
HORNOR, TOWNSEND & KENT, LLC
January 1, 1993 - July 11, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 2, 1984 - March 15, 1988
MONARCH SECURITIES, INC.
October 20, 1983 - December 31, 1992
MUTUAL SERVICE CORPORATION
May 28, 1975 - November 2, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
May 28, 1975 - November 2, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
May 28, 1975 - November 2, 1983
IDS LIFE INSURANCE COMPANY
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 1
Date: 5/19/1975
Registered Representative ExaminationCurrent Firm
BROADSTONE SECURITIES
CRD#: 101600 / SEC#: , 8-52094
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
