Fred G. Fram
Executive Vice President, Compliance, and Operations
Fred serves as Summit Financial Networks’ chief compliance officer, as well as overseeing the firm’s Trading and Operations department. Fred has more than 25 years of broker-dealer experience at firms including National Planning Corporation and HD Vest.
During his career, Fred has held senior management positions in accounting, compliance, and operations. He has been involved in multiple acquisitions/integrations and clearing firm conversions.
Fred currently serves on FINRA’s Membership Committee and has previously served on FINRA’s Licensing and Registration Council and Regulatory Element Continuing Education Content Committee. Fred earned both his Bachelor of Business Administration and MBA from the University of Texas at Austin.
Fred holds the following Finra licenses: 3, 4, 7, 24, 27, 53, 55, 63, and 66. Florida Insurance 2-15.
In Fred’s spare time he likes to spend it reading, traveling and tasting wine.