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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Caswell Dey is a registered investment advisor representative with RBC Capital Markets, LLC, and has been in the industry since September 23, 1995. Frederick has a broad range of experience, including working with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Frederick is licensed to provide investment advice in a number of states, including Maine, Texas, California, Colorado, Connecticut, and more. Frederick has a variety of specializations, including portfolio management, financial planning, and pension consulting. Frederick is a Certified Financial Planner and has a strong track record of success in the financial services industry.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
ME
05/13/2015 - Present
RBC Capital Markets, LLC (PORTLAND ME)
ME
04/02/2007 - 04/21/2009
MORGAN STANLEY & CO. INCORPORATED (PORTLAND ME)
ME
04/25/2002 - 04/02/2007
MORGAN STANLEY DW INC. (PORTLAND ME)
ME
06/25/1996 - 08/24/2001
FUNDS DISTRIBUTOR, INC. (PORTLAND ME)
MA
06/25/1999 - 04/06/2000
PREMIER MUTUAL FUND SERVICES, INC. (NEWTON MA)
MA
12/20/1994 - 05/20/1996
PREMIER MUTUAL FUND SERVICES, INC. (NEWTON MA)
ME
11/15/1995 - 05/10/1996
FUNDS DISTRIBUTOR, INC. (PORTLAND ME)
IA
Issued 06/03/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2007
Series 3 - National Commodity Futures Examination
BC
Issued 06/07/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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