Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Early Woltz is a financial advisor who is actively registered with LPL Financial LLC. Frederick has been working in the financial services industry since 1984. Prior to working at LPL Financial LLC, Frederick worked at RAYMOND JAMES & ASSOCIATES, INC., MORGAN KEEGAN & COMPANY, INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., and RAINES SECURITIES CORPORATION. Frederick is registered to provide investment advisory services in several states, including North Carolina, California, Connecticut, Florida, Georgia, Indiana, Louisiana, New York, Oklahoma, South Carolina, and Virginia. Frederick holds FINRA Series 7, Series 63, Series 24, and Series 79TO licenses.
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.
Consulting and other non-discretionary advisory services
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.
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2
NC
10/07/2022 - Present
LPL Financial LLC (CHARLOTTE NC)
NC
02/13/2013 - 10/18/2022
RAYMOND JAMES & ASSOCIATES, INC. (CHARLOTTE NC)
NC
05/11/2007 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (CHARLOTTE NC)
NC
07/31/1993 - 05/25/2007
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NY
02/20/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/11/1984 - 02/09/1990
RAINES SECURITIES CORPORATION
IA
Issued 08/22/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/1984
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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