Fred S. Sager
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.
Fred Steven Sager, who also goes by Frederick Steven Sager, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1979. Fred had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4 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
August 27, 1997 - January 2, 2019
NORTHEAST SECURITIES, LLC
August 8, 1994 - August 20, 1997
OPPENHEIMER & CO. INC.
September 18, 1991 - August 8, 1994
REICH & CO., INC.
August 2, 1989 - February 20, 1991
CITIGROUP GLOBAL MARKETS INC.
November 18, 1987 - February 7, 1989
G. K. SCOTT & CO., INC.
May 1, 1987 - October 29, 1987
DOMESTIC ARBITRAGE GROUP, INC.
June 29, 1984 - March 30, 1987
G. K. SCOTT & CO., INC.
May 1, 1979 - February 1, 1984
BLINDER, ROBINSON & 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
Current Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
