Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Walter Habeck is a financial advisor with over 20 years of experience in the industry. Frederick is currently registered with Alps Distributors, Inc. and has previously been registered with a number of other firms, including Guggenheim Funds Distributors, LLC, Morgan Stanley & Co. Incorporated, and Equico Securities, Inc. Frederick is licensed to sell securities in 13 states and holds licenses in several product areas. Frederick has passed the Series 6, 7, 31, and SIE exams. He is also licensed in several states to provide investment advisory services.
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.
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2
NJ
12/12/2023 - Present
Alps Distributors, Inc. (BERNARDSVILLE NJ)
IL
03/03/2014 - 06/26/2020
GUGGENHEIM FUNDS DISTRIBUTORS, LLC (CHICAGO IL)
IL
08/17/2009 - 03/03/2014
GUGGENHEIM DISTRIBUTORS, LLC (SCHAUMBURG IL)
NY
04/02/2007 - 02/18/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
OR
05/27/2003 - 04/02/2007
MORGAN STANLEY DW INC. (PORTLAND OR)
ME
10/04/2001 - 03/17/2003
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
AZ
03/29/2001 - 10/04/2001
FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)
CA
05/26/1998 - 01/29/1999
NICHOLAS-APPLEGATE SECURITIES (A CALIFORNIA LIMITED PARTNERSHIP) (SAN DIEGO CA)
CA
06/04/1998 - 08/20/1998
CENTEX SECURITIES CORPORATION (LA JOLLA CA)
NA
10/23/1995 - 12/18/1996
JACK WHITE & COMPANY, INC.
NY
09/10/1993 - 03/01/1994
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
09/10/1993 - 03/01/1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BC
Issued 11/17/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/20/1994
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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