Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Grand is an active broker and investment advisor representative. Frederick has been in the industry since 2012 and is currently registered with UBS Financial Services Inc. Frederick has worked with RA Capital Advisors LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated in the past. Frederick is licensed to offer investment advice in 44 states and the District of Columbia. Frederick offers a range of investment advisory services including financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
08/23/2021 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
CA
09/28/2015 - 04/30/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
12/12/2011 - 06/26/2015
RA CAPITAL ADVISORS LLC (SAN DIEGO CA)
BOTH
Issued 02/09/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/28/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2017
Series 7 - General Securities Representative Examination
BC
Issued 12/10/2011
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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