Fredrick L. Astman
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.
Fredrick Leonard Astman, who also goes by Frederick Leonard Astman, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1969. Fredrick had worked at 4 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 1980 - April 17, 2013
FIRST WILSHIRE SECURITIES, INC.
July 6, 1977 - September 25, 1980
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
July 29, 1970 - October 19, 1977
THOMSON MCKINNON SECURITIES INC.
March 3, 1969 - April 6, 1972
BLAIR & CO., 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 1
Date: 5/21/1961
Registered Representative ExaminationCurrent Firm
FIRST WILSHIRE SECURITIES, INC.
CRD#: 6609 / SEC#: , 8-17742
Contact information
Disclosures
| Regulatory Event | 15 |
| Civil Event | 2 |
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.
