Jonathan H. Frede
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.
Jonathan Harold Frede, who also goes by Jonathan H Frede, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1976. Jonathan had worked at 9 firms and has passed the Series 65, Series 63, Series 3, PC, Series 7, Series 53, Series 8, Series 14, Series 24, Series 4 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
March 19, 2007 - January 2, 2008
MCFADDEN, FARRELL & SMITH, L.P.
March 29, 2005 - March 5, 2013
W.A. CAPITAL MARKETS
April 29, 2002 - April 11, 2005
RYAN BECK & CO.
April 30, 2001 - May 14, 2002
GRUNTAL & CO., L.L.C.
November 28, 1994 - May 1, 2001
PRUDENTIAL EQUITY GROUP, LLC
May 28, 1992 - February 12, 1993
CEDAR STREET SECURITIES CORP.
April 30, 1991 - December 1, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
August 1, 1983 - May 22, 1984
STUART, COLEMAN & CO., INC.
December 1, 1976 - April 30, 1991
MABON, NUGENT & CO.
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
PC
Date: 4/24/1981
AMEX Put and Call ExamSeries 8
Date: 5/19/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 9/20/1981
NYSE Branch Manager ExaminationCurrent Firm
MCFADDEN, FARRELL & SMITH, L.P.
CRD#: 26245 / SEC#: , 8-42439
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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