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Current Employers
Vestech Asset Management Inc.

11477 Olde Cabin Road Suite 310, Saint Louis, MO 63141 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2021-06-22
  • MO RA
    APPROVED
    Since 2021-06-22

Branch Locations

11477 Olde Cabin Road Suite 310, Saint Louis, MO 63141 • United States

Saint Charles, MO • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Royal Alliance Associates, Inc. St Louis MO 02/1997 05/2018
Vestech Securities, Inc. St Louis MO 04/2020 Present
Heartland Payment Systems St. Charles MO 01/2018 Present
Premier Casino Party St. Charles MO 01/1995 Present
Vestech Asset Management, Inc. St. Louis MO 06/2021 Present
  • 02/1997 → 05/2018
    Royal Alliance Associates, Inc.
    St Louis, MO
  • 04/2020 → Present
    Vestech Securities, Inc.
    St Louis, MO
  • 01/2018 → Present
    Heartland Payment Systems
    St. Charles, MO
  • 01/1995 → Present
    Premier Casino Party
    St. Charles, MO
  • 06/2021 → Present
    St. Louis, MO
Previous Registrations
  • 2005-11-09 → 2018-05-29
    Chesterfield, MO
    St Louis, MO
  • 1995-10-31 → 2003-11-19
    Pines Financial Group, Inc.
    St. Louis, MO
Other Businesses

Name of the other business: Premier Casino Party Investment-related: No Address of business: 18 Freedom Way, St. Charles MO 63303 Nature of business: Casino parties for charity events. Position, title, relationship with business: 21 Dealer Start date of relationship: 01/1995 Approximate hours/month: 3 Hours during trading hours: 0 Duties: help people have a great time Name of the other business: Heartland Payment Systems Investment-related: No Address of business: 2001 Aerospace Parkway, Brool Park, OH, 44142 Nature of business: Credit card processing services Position, title, relationship with business: Referral source Start date of relationship: 01/2018 Approximate hours/month: 1 Hours during trading hours: 0 Duties: help business owners credit card processing services Name of the other business: Insurance agent Investment-related: No Address of business: 18 Freedom Way, St. Charles MO 63303 Nature of business: Insurance sales Position, title, relationship with business: Insurance agent Start date of relationship: 12/1979 Approximate hours/month: 2 Hours during trading hours: 0 Duties: Provide Life, Health Insurance, Fixed and Equity Indexed Annuities and Long Term Care coverage. Name of the other business: Vestech Securities, Inc. Investment-related: Yes Address of the other business: 11477 Olde Cabin Road, Suite 310, Saint Louis, MO, 63141 Nature of the other business: Broker Dealer Position; title, or relationship with the other business: Financial Representative Start date of your relationship: 04/2020 Approximate number of hours/month you devote to the other business: 160 Number of hours you devote to the other business during securities trading hours: 160 Briefly describe your duties relating to the other business: Financial representative helping clients achieve their financial goals

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-03-28
  • S63 Uniform Securities Agent State Law Examination
    1980-03-28
Designations
Other Names
  • E J Frericks

View on SEC IAPD

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