Individual Firm
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EDWARD CHARLES FREDERICKS
CRD#: 2202730
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 612 WHEELERS FARMS ROAD
2ND FLOOR
MILFORD, CT 06461
2ND FLOOR
MILFORD, CT 06461
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11/16/2018
Customer Dispute
Denied
7/25/2018
Customer Dispute
Denied
State Registrations
B
Alaska 8/11/2022
B
New Jersey 2/14/2017
IA
Alaska 9/16/2022
IA
New Jersey 2/15/2017
B
Arizona 2/1/2017
B
New Mexico 10/22/2019
IA
Arizona 2/9/2017
IA
New Mexico 2/6/2020
B
California 1/19/2017
B
New York 6/1/2005
IA
California 1/20/2017
IA
New York 6/20/2021
B
Connecticut 6/1/2005
B
North Carolina 3/3/2017
IA
Connecticut 6/1/2005
IA
North Carolina 5/19/2017
B
Florida 1/19/2017
B
Ohio 2/24/2023
IA
Florida 1/23/2017
IA
Ohio 2/27/2023
B
Georgia 9/24/2024
B
Pennsylvania 9/26/2005
B
Illinois 3/2/2017
B
South Carolina 8/4/2017
IA
Illinois 3/17/2017
IA
South Carolina 8/16/2017
B
Maryland 6/1/2005
B
Texas 6/1/2005
IA
Maryland 10/6/2011
IA
Texas 12/6/2007
B
Massachusetts 2/17/2021
B
Vermont 1/19/2018
B
Montana 7/24/2023
IA
Vermont 1/26/2018
IA
Montana 8/1/2023
B
Virginia 1/27/2022
B
New Hampshire 4/30/2014
IA
Virginia 2/10/2022
IA
New Hampshire 5/5/2014
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2005
B
Registered with this firm since 6/1/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/29/1998 - 06/01/2005 | WESTPORT, CT | |
B | 07/12/1996 - 06/01/2005 | NEW YORK, NY | |
IA | 02/01/2002 - 12/02/2003 | WESTPORT, CT | |
B | 08/29/2001 - 12/02/2003 | NEW YORK, NY | |
B | 01/20/1992 - 07/12/1996 | SPRINGFIELD, MA | |
B | 01/20/1992 - 07/12/1996 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.