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Stephen A Frederick

Moors & Cabot, Inc.

Boston, MA

Alexandria, VA

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Current Employers
Moors & Cabot, Inc.

One Federal Street 19Th Floor, Boston, MA 02110 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2016-10-31
  • VA RA
    APPROVED
    Since 2016-10-31

Branch Locations

One Federal Street 19Th Floor, Boston, MA 02110 • UNITED STATES

1800 Diagonal Road Suite 440, Alexandria, VA 22314 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Moors & Cabot, Inc. Alexandria VA 01/2001 Present
Other Businesses

Chairman of Finance Committee, Calvary United Methodist Church, Arlington, VA 1 hour per week, no compensation

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-31
S66 Uniform Combined State Law Examination 2005-03-23
  • S65 Uniform Investment Adviser Law Examination
    2016-10-31
  • S66 Uniform Combined State Law Examination
    2005-03-23

View on SEC IAPD

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