Frederick M. Wall
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 Minton Wall, who also goes by Frederick M Wall, Fredrick Minton Wall, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1986. Frederick had worked at 9 firms and has passed the Series 63, SIE 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
January 3, 2013 - December 31, 2019
MISCHLER FINANCIAL GROUP, INC.
September 9, 2011 - January 28, 2013
MORGAN STANLEY
November 28, 1997 - September 12, 2011
CITIGROUP GLOBAL MARKETS INC.
April 22, 1994 - September 1, 1998
SALOMON BROTHERS INC.
April 13, 1992 - March 30, 1994
CREDIT SUISSE SECURITIES (USA) LLC
December 18, 1990 - November 15, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
December 6, 1989 - March 14, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
August 11, 1987 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
July 11, 1986 - August 21, 1987
COTE & STEWART, LTD.
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
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
