linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Frederick Spitzer Brown

Oppenheimer & Co. Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Frederick? Claim Your Profile

About Frederick Spitzer Brown

Frederick Spitzer Brown is an investment advisor representative with Oppenheimer & Co. Inc. Frederick has been in the industry since 1987. Frederick holds several licenses and certifications, including Series 7, 3, 10, 9, 63, and 65. Frederick specializes in portfolio management for individuals, businesses, and pooled investment vehicles. Frederick also offers financial planning services. Frederick was previously employed at CIBC WORLD MARKETS CORP., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and INVESTMENT MANAGEMENT & RESEARCH, INC.

Firm Information

Frederick Brown is currently registered with Oppenheimer & Co. Inc.. Oppenheimer & Co. Inc. is a corporation formed in December 1954 and headquartered in New York City. The firm provides a range of advisory services, including financial planning, pension consulting, selection of other advisors, portfolio management for businesses, individuals, and pooled investment vehicles. Oppenheimer & Co. Inc. manages approximately $1 billion to $10 billion in assets for a diverse clientele, including individuals, corporations, institutions, and government entities. The firm is registered with the SEC and in all 50 states.
Oppenheimer & Co. Inc.

85 BROAD STREET

NEW YORK, NY 10004

$27.45B

Assets Under Management

Not reported

Total Clients

1,429

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

check

performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Frederick Brown’s Registration & Firm History

GA

07/05/2017 - Present

Oppenheimer & Co. Inc. (ATLANTA GA)

NY

07/02/1991 - 01/03/2003

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

08/27/1987 - 07/03/1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

01/07/1987 - 10/14/1987

INVESTMENT MANAGEMENT & RESEARCH, INC

Not sure if Frederick Spitzer Brown is right for you?

Licenses & Designations

IA

Issued 04/22/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/21/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/23/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/23/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/25/1988

Series 3 - National Commodity Futures Examination

BC

Issued 12/20/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are 2 public disclosures for Frederick Spitzer Brown. Review regulatory record here.
Not sure if Frederick Spitzer Brown is right for you?