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Frederick Hepfer

Citizens Securities, Inc.

Albany, NY

Clifton Park, NY

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Current Employers
Citizens Securities, Inc.

One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2025-05-01
MO RA APPROVED 2021-11-18
NY RA APPROVED 2021-05-24
  • OH RA
    APPROVED
    Since 2025-05-01
  • MO RA
    APPROVED
    Since 2021-11-18
  • NY RA
    APPROVED
    Since 2021-05-24

Branch Locations

20 Corporate Woods Blvd, Suite 302 Ms: Nyac10, Albany, NY 12211 • United States

One Municipal Plaza 830 Route 146, Clifton Park, NY 12065 • 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
Key Investment Services Llc Albany NY 07/2014 06/2019
Citizens Securities, Inc. Clifton Park NY 05/2021 Present
M&T Securities Schenectady NY 06/2019 05/2021
  • 07/2014 → 06/2019
    Key Investment Services Llc
    Albany, NY
  • 05/2021 → Present
    Citizens Securities, Inc.
    Clifton Park, NY
  • 06/2019 → 05/2021
    M&T Securities
    Schenectady, NY
Previous Registrations
  • 2020-01-01 → 2021-05-28
    M&T Securities, Inc.
    Schaghticoke, NY
    Syracuse, NY
    Clifton Park, NY
    Troy, NY
    Schenectady, NY
    Schenectady, NY
    Wynantskill, NY
    Guilderland, NY
    Albany, NY
    Albany, NY
  • 2013-08-23 → 2014-07-31
    Citizens Securities, Inc.
    Schenectady, NY
    Schenectady, NY
    Johnstown, NY
    Broadalbin, NY
    Amsterdam, NY
    Schenectady, NY
    Schenectady, NY
  • 2009-06-01 → 2009-12-31
    Morgan Stanley
    Albany, NY
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Albany, NY
  • 2006-09-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Albany, NY
    Albany, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-12-31
S66 Uniform Combined State Law Examination 2000-07-05
  • S65 Uniform Investment Adviser Law Examination
    2019-12-31
  • S66 Uniform Combined State Law Examination
    2000-07-05
Other Names
  • Frederick Scott Hepfer
  • Frederick S Hepfer

View on SEC IAPD

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ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

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