Mr. Frederick is the second generation President of Frederick & Company, Inc. Lon joined the Company in 1975 as an Internal Operations Assistant. Over the next two decades, Lon held a series of positions at the Company from Research Director, Accounting Manager to First Vice President Venture Capital. In 1994 Lon was appointed President. In 1975 received his degree in Biochemistry from the University of Wisconsin. Mr. Frederick holds FINRA Series 7, 24, 28, and 63 registrations.
Matt Dwyer of MCD Compliance Consulting Co. handles numerous compliance duties for Frederick & Co. Matt Dwyer has over 20 years of broker-dealer compliance experience. He has served in a number of roles including Senior Compliance Examiner at FINRA (formerly NASD). While at FINRA, Matt gained hands-on experience in a number of areas including brokerage accounting, brokerage operations, supervisory structures and controls, internal controls, written supervisory procedures and Anti-Money Laundering (AML). Matt has extensive experience in compliance, operational and due diligence issues regarding private placements.