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Frederick Joseph Gratz

Westmoreland Capital Corp.

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About Frederick Joseph Gratz

Frederick Gratz is a registered representative with Westmoreland Capital Corp. in Buffalo, NY. Frederick has over 20 years of experience in the financial services industry. Frederick has been registered with FINRA since 2001. Frederick holds the Series 7 and Series 66 licenses. Frederick has previously worked at Axiom Capital Management, Inc., KBR Capital Markets, LLC, ICON Securities Corp, Goldman, Sachs & Co., HSBC Securities (USA) INC., HSBC Brokerage (USA) INC., American Express Financial Advisors Inc., and IDS Life Insurance Company.

Firm Information

Frederick Gratz is currently registered with Westmoreland Capital Corp.. Westmoreland Capital Corp. is a corporation that was formed on August 3, 1979. It is registered in all 50 states and the District of Columbia, as well as with the SEC. The firm has a history of regulatory events and arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

15

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Frederick Gratz’s Registration & Firm History

NY

01/31/2014 - Present

Westmoreland Capital Corp. (Buffalo NY)

NY

10/10/2013 - 02/03/2014

AXIOM CAPITAL MANAGEMENT, INC. (NEW YORK NY)

CA

09/18/2012 - 09/03/2013

KBR CAPITAL MARKETS, LLC (PALO ALTO CA)

NY

04/28/2008 - 11/01/2011

ICON SECURITIES CORP (NEW YORK NY)

NY

03/02/2005 - 03/11/2008

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

01/01/2005 - 01/31/2005

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NY

01/09/2004 - 01/01/2005

HSBC BROKERAGE (USA) INC. (NEW YORK NY)

MN

02/06/2001 - 05/28/2003

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

02/06/2001 - 05/28/2003

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 02/15/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/05/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Frederick Joseph Gratz.
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