Frederick A. Fielder
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 Alan Fielder JR was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1979. Frederick had worked at 6 firms and has passed the Series 7, Series 52 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
December 19, 2000 - May 24, 2001
AUERBACH, POLLAK & RICHARDSON INC.
February 5, 1993 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
January 2, 1990 - June 24, 1991
ALDEN CAPITAL MARKETS, INC.
September 10, 1985 - May 31, 1989
CAPITAL MARKETS CORPORATION
April 19, 1982 - August 13, 1985
BOETTCHER & COMPANY, INC.
March 27, 1979 - February 22, 1982
DBLKM 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
Current Firm
AUERBACH, POLLAK & RICHARDSON INC.
CRD#: 29824 / SEC#: , 8-44584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUERBACH FINANCIAL GROUP INC. | PARENT COMPANY | |
| EVISION | SHAREHOLDER | |
| BARTELS, STANLEY LEONARD | DIRECTOR OF SYNDICATE | 1011749 |
| COHEN, LEWIS HOWARD | FINOP | 1678304 |
| CONSIDINE, MICHAEL PIERCE | EXECUTIVE VP | 2789726 |
| GEORGE, MARK | SENIOR VICE PRESIDENT-SROP/DB ALEX BROWN DIVISION | 1701125 |
| REGAN, HUGH | PRESIDENT, DIRECTOR | 1254114 |
| RICH, LOUIS J | MGN DIR TRADING | 375430 |
| SANDS, JOHN KEATING | CHAIRMAN, DIRECTOR | |
| YORKE, AARON JONES IV | DIRECTOR | 701412 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
