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FREDERICK MARTIN ROSS
CRD#: 2023090
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 3630 PEACHTREE ROAD NE, 4TH FLOOR
ATLANTA, GA 30326
Registration History
199019952000200520102015202020252 FIRMS2002 - 2005 (2 years)2 FIRMS2005 - 2005 (<1 year)2 FIRMS2018 - Present (6 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2005 - 2018 (12 years)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2001 - 2002 (1 year)BDB ALEX. BROWN LLC (CRD# 17790)1997 - 2001 (3 years)BALEX. BROWN & SONS INCORPORATED (CRD# 20)1994 - 1997 (3 years)BD. BLECH & COMPANY, INCORPORATED (CRD# 26063)1994 - 1994 (<1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1994 (4 years)IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2006 - 2018 (12 years)
Disclosure(s)
View By:
11/23/2005
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 12/21/2023

B
Louisiana 5/29/2019

B
Colorado 11/2/2018

B
Massachusetts 11/2/2018

B
Connecticut 7/15/2024

B
New York 11/2/2018

B
Florida 11/2/2018

B
Ohio 12/3/2018

B
Georgia 11/2/2018

B
South Carolina 11/14/2018

IA
Georgia 11/5/2018

B
Tennessee 11/2/2018

B
Illinois 11/2/2018

B
Virginia 11/2/2018

B
Kentucky 3/8/2022

B
Washington 10/22/2021

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American 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
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
3630 PEACHTREE ROAD NE, 4TH FLOOR, ATLANTA, GA 30326
Registered with this firm since 11/5/2018

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
3630 PEACHTREE ROAD NE, 4TH FLOOR, ATLANTA, GA 30326
Registered with this firm since 11/2/2018

Previous Registration(s)
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IA
02/08/2006 - 11/05/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ATLANTA, GA
B
12/20/2005 - 11/05/2018 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ATLANTA, GA
IA
06/28/2005 - 12/21/2005 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) ATLANTA, GA
B
06/27/2005 - 12/21/2005 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) ATLANTA, GA
IA
09/11/2002 - 07/15/2005 SUNTRUST CAPITAL MARKETS, INC. (CRD#:6271) ATLANTA, GA
B
09/06/2002 - 06/30/2005 SUNTRUST CAPITAL MARKETS, INC. (CRD#:6271) ATLANTA, GA
B
01/13/2001 - 09/16/2002 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) NEW YORK, NY
B
09/01/1997 - 01/13/2001 DB ALEX. BROWN LLC (CRD#:17790) BALTIMORE, MD
B
08/04/1994 - 09/01/1997 ALEX. BROWN & SONS INCORPORATED (CRD#:20)
B
01/17/1994 - 08/18/1994 D. BLECH & COMPANY, INCORPORATED (CRD#:26063) NEW YORK, NY
B
01/26/1990 - 02/07/1994 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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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.