Frederick J. Garber
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 John Garber was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1977. Frederick had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 1, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2000 - August 30, 2001
WORLD SECURITIES, INC.
January 16, 1995 - July 31, 1998
EMPIRE FINANCIAL GROUP, INC.
July 22, 1986 - January 9, 1995
F.J. GARBER & CO.
December 24, 1981 - April 17, 1986
LEHMAN BROTHERS INC.
October 20, 1980 - October 6, 1988
EQUITABLE ADVISORS, LLC
July 6, 1977 - January 15, 1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 6/30/1977
Registered Representative ExaminationCurrent Firm
WORLD SECURITIES, INC.
CRD#: 39431 / SEC#: , 8-48703
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
| Arbitration | 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.
