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FREDERICK SPITZER BROWN
FRITZ SPITZER BROWN, FRITZ BROWN, FRITZ FREDERICK
CRD#: 1610416
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 PHIPPS TOWER-3438 PEACHTREE RD NE
SUITE 950
ATLANTA, GA 30326
Registration History
19901995200020052010201520202025IAOPPENHEIMER & CO. INC. (CRD# 249)2004 - Present (20 years)BOPPENHEIMER & CO. INC. (CRD# 249)2003 - Present (22 years)BCIBC WORLD MARKETS CORP. (CRD# 630)1991 - 2003 (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 1991 (3 years)BINVESTMENT MANAGEMENT & RESEAR... (CRD# 6694)1987 - 1987 (<1 year)
Disclosure(s)
View By:
12/7/2010
Customer Dispute
Settled
4/13/2006
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 1/3/2003

B
Montana 11/3/2021

B
Arizona 5/15/2012

B
New Jersey 1/3/2003

B
California 1/3/2003

B
New Mexico 1/3/2003

B
Colorado 1/3/2003

B
New York 1/3/2003

B
Delaware 7/10/2014

B
North Carolina 1/3/2003

B
Florida 1/3/2003

B
Ohio 8/26/2019

B
Georgia 1/3/2003

B
Pennsylvania 1/3/2003

IA
Georgia 7/30/2004

B
South Carolina 1/3/2003

B
Illinois 1/3/2003

B
Tennessee 1/3/2003

B
Indiana 3/30/2023

B
Texas 1/3/2003

B
Louisiana 12/20/2022

IA
Texas 7/5/2017

B
Maryland 2/7/2023

B
Utah 12/14/2022

B
Massachusetts 1/3/2003

B
Virginia 1/3/2003

B
Michigan 12/19/2022

B
Washington 6/20/2023

B
Mississippi 1/3/2003

B
Wisconsin 12/15/2022

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPPENHEIMER & CO. INC. (CRD#:249)
PHIPPS TOWER-3438 PEACHTREE RD NE SUITE 950, ATLANTA, GA 30326
Registered with this firm since 7/30/2004

B
OPPENHEIMER & CO. INC. (CRD#:249)
PHIPPS TOWER-3438 PEACHTREE RD NE SUITE 950, ATLANTA, GA 30326
Registered with this firm since 1/3/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/02/1991 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
08/27/1987 - 07/03/1991 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
01/07/1987 - 10/14/1987 INVESTMENT MANAGEMENT & RESEARCH, INC (CRD#:6694)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.