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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 J. Fifield vi is an active Registered Representative and Investment Advisor Representative. Frederick is currently registered with Morgan Stanley and has been in the industry since May 4, 1989. Frederick has previously been employed by Citigroup Global Markets Inc., Brenton Investments, Inc., Northern Trust Securities, Inc., Shearson Lehman Hutton Inc., and E. F. Hutton & Company Inc. Frederick has passed numerous securities exams, including Series 3, 4, 7, 10, 24, 31, 63, and 65. Frederick holds registrations in multiple states including Florida, Iowa, Texas, and others. Frederick is also a registered principal with Morgan Stanley. Frederick works with a wide range of clients including individuals, high-net-worth individuals, corporations, insurance companies, investment companies, pension and profit-sharing plans, charitable organizations, and state or municipal government entities.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IA
02/11/2014 - Present
Morgan Stanley (West Des Moines IA)
IA
11/21/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WEST DES MOINES IA)
MN
04/29/1992 - 11/20/2000
BRENTON INVESTMENTS, INC. (PLYMOUTH MN)
IL
11/04/1991 - 05/04/1992
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
NY
02/15/1988 - 01/24/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
07/27/1987 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/24/1995
Series 4 - Registered Options Principal Examination
BC
Issued 10/03/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/12/1987
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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