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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Garraway is an active investment advisor representative with Wells Fargo Clearing Services, LLC in Ridgeland, Mississippi. Frederick has been in the industry for 38 years, beginning in February 1986. Frederick has passed the Series 3, 7, 8, 63, and 65 exams as well as the Securities Industry Essentials Exam. Frederick holds registrations in 17 states, including Mississippi, Texas, Florida, Louisiana, Alabama, Georgia, Kentucky, Missouri, Maine, Virginia, Pennsylvania, Colorado, New Jersey, Tennessee, Delaware, and Colorado. Frederick's previous employers include UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Prudential Securities Incorporated, and PaineWebber Incorporated.
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.
Investment consulting services to institutional clients
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.
1
2
MS
09/25/2012 - Present
Wells Fargo Clearing Services, LLC (RIDGELAND MS)
MS
04/25/2008 - 10/03/2012
UBS FINANCIAL SERVICES INC. (JACKSON MS)
MS
04/02/2007 - 04/28/2008
MORGAN STANLEY & CO. INCORPORATED (RIDGELAND MS)
MS
02/18/1994 - 04/02/2007
MORGAN STANLEY DW INC. (RIDGELAND MS)
NY
05/08/1989 - 05/16/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
02/19/1986 - 05/16/1989
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 08/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/02/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/1988
Series 3 - National Commodity Futures Examination
BC
Issued 02/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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