Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Donald Farnsworth is a financial advisor with over 40 years of experience in the industry. Frederick is currently registered with Rockefeller Financial LLC and Rockefeller Capital Management. Frederick has been in the financial industry since 1981 and has held previous positions at MORGAN STANLEY, MORGAN STANLEY & CO. INCORPORATED, WACHOVIA SECURITIES, LLC, A. G. EDWARDS & SONS, INC., THOMSON MCKINNON SECURITIES INC. and PAINEWEBBER INCORPORATED. Frederick holds licenses for both securities and investment advisory services. Frederick is also a registered investment advisor. Frederick's areas of expertise include financial planning, pension consulting, and portfolio management for both individuals and businesses.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
04/29/2022 - Present
Rockefeller Financial LLC (Los Angeles CA)
CA
06/01/2009 - 05/19/2022
MORGAN STANLEY (San Diego CA)
CA
10/31/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SANTA BARBARA CA)
CA
01/01/2008 - 11/07/2008
WACHOVIA SECURITIES, LLC (SANTA BARBARA CA)
CA
07/28/1989 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SANTA BARBARA CA)
NA
08/28/1984 - 08/01/1989
THOMSON MCKINNON SECURITIES INC.
NA
06/23/1981 - 07/30/1984
PAINEWEBBER INCORPORATED
BOTH
Issued 01/29/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/17/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/22/1982
Series 3 - National Commodity Futures Examination
BC
Issued 11/09/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/20/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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