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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 William Rothfuss Jr. is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in STAMFORD, CT. Frederick has been in the industry since 1987 and has a broad range of experience, having previously worked at Goldman Sachs & Co. LLC. Frederick is registered with the Securities and Exchange Commission (SEC) and holds a Series 63, 66, and 65 license. Frederick's specialization is in the securities industry, with a focus on providing investment advice to individuals and businesses. Frederick is a registered investment advisor in Connecticut, New York, and Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CT
05/08/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STAMFORD CT)
NY
06/12/1986 - 03/31/2022
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
IA
Issued 05/08/2023
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/21/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/14/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/1995
Series 3 - National Commodity Futures Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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