Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Spitzer Brown is a financial advisor with Oppenheimer & Co. Inc., a firm with a long history of providing investment advice. Frederick has been in the industry since 1987, having held various roles with firms like CIBC World Markets Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Investment Management & Research, Inc. Frederick holds multiple professional licenses and registrations, including the Series 65, Series 63, Series 10, Series 9, Series 3, and Series 7, demonstrating a broad range of expertise. Frederick specializes in financial planning, pension consulting, and portfolio management for individuals, businesses, and pooled investment vehicles. Frederick has a dedicated focus on helping clients reach their financial goals.
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.
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.
1
2
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
IA
Issued 4/22/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/21/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/23/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/23/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
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
Active
Inactive
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
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