Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Stemp is a financial professional with over 15 years of experience in the financial services industry. Frederick is currently registered with Wells Fargo Securities, LLC and holds a Series 7, Series 24, Series 63, Series 99TO and SIE license. Frederick previously held positions at Citigroup Global Markets Inc., UBS Securities LLC, Barclays Capital Inc., and Lehman Brothers Inc. Frederick is registered in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands.
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.
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.
1
2
NC
05/18/2018 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NY
04/04/2013 - 06/07/2018
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/15/2011 - 02/14/2013
UBS SECURITIES LLC (NEW YORK NY)
NY
09/22/2008 - 04/21/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
08/30/2006 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 09/09/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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