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Fredric Alan Fier

Marex Capital Markets Inc.

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About Fredric Alan Fier

Fredric Alan Fier is an experienced financial professional with over 29 years in the industry. Currently, Fredric is registered with Marex Capital Markets Inc. in Red Bank, NJ. Fredric has held previous positions at Cowen and Company, Cowen Prime Services LLC, Cowen Prime Services Trading LLC, Morgan Stanley & Co. Incorporated, Seligman Advisors, Inc., Americorp Securities, Inc., Investors Associates, Inc., Beacon Securities, Inc. and Emanuel and Company. Fredric holds Series 4, 7, 55, 62, 63, and SIE licenses.

Firm Information

Fredric Fier is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Fredric Fier’s Registration & Firm History

NJ

12/01/2023 - Present

Marex Capital Markets Inc. (Red Bank NJ)

NJ

08/10/2021 - 12/13/2023

COWEN AND COMPANY (Red Bank NJ)

NY

01/29/2016 - 01/04/2022

COWEN PRIME SERVICES LLC (NEW YORK NY)

NY

05/13/2008 - 06/15/2016

COWEN PRIME SERVICES TRADING LLC (NEW YORK NY)

NY

04/01/2002 - 01/07/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

MA

04/10/1995 - 04/09/2002

SELIGMAN ADVISORS, INC. (BOSTON MA)

NY

08/09/1994 - 11/18/1994

AMERICORP SECURITIES, INC. (NEW YORK NY)

NJ

12/21/1993 - 08/23/1994

INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)

NY

09/17/1993 - 01/01/1994

BEACON SECURITIES, INC. (NEW YORK NY)

NY

11/10/1993 - 12/21/1993

EMANUEL AND COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/12/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/10/2003

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/05/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/16/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Fredric Alan Fier.
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