Frederick C. Held
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 Charles Held was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1977. Frederick had worked at 8 firms and has passed the Series 63, Series 55, PC 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
November 1, 2005 - January 14, 2014
BREAN CAPITAL, LLC
October 1, 1996 - March 14, 2006
BREAN MURRAY & CO., INC.
May 18, 1990 - April 9, 1996
EAST HILL CAPITAL CORP.
April 16, 1985 - February 6, 1990
DEPAOLIS & CO.
May 10, 1982 - March 25, 1985
SBC WARBURG DILLON READ INC.
October 3, 1979 - May 17, 1982
CREDIT SUISSE SECURITIES (USA) LLC
September 16, 1977 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
June 1, 1977 - September 16, 1977
BACHE HALSEY STUART 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 55
Date: 10/13/1999
Limited Representative-Equity Trader ExamPC
Date: 4/29/1985
AMEX Put and Call ExamCurrent Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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