Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen A. Frederick is an investment advisor representative with Moors & Cabot, Inc. Stephen has been in the industry since 2001. Stephen is registered with 45 state securities authorities and the state of Virginia as an Investment Advisor Representative. Stephen has passed the Series 65, Series 66, Series 7, Series 9, Series 10 and SIE exams.
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.
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
MA
10/31/2016 - Present
Moors & Cabot, Inc. (BOSTON MA)
VA
07/15/2005 - 06/20/2008
MOORS & CABOT FINANCIAL ADVISORS, LLC (ALEXANDRIA VA)
VA
07/06/2001 - 08/18/2006
MOORS & CABOT, INC. (ALEXANDRIA VA)
IA
Issued 10/31/2016
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 03/23/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/13/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/08/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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