Roger T. Frazee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roger Talmage Frazee was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1981. Roger had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2006 - December 31, 2018
FINANCIAL SERVICES NETWORK, INC
October 2, 1997 - August 18, 2015
LASALLE ST SECURITIES, L.L.C.
December 12, 1994 - October 16, 1997
SAPERSTON FINANCIAL INC.
December 10, 1991 - December 31, 1994
FINANCIAL INFORMATION CENTERS BROKERAGE, INC.
December 7, 1990 - December 31, 1991
FSC SECURITIES CORPORATION
June 5, 1989 - December 7, 1990
COZAD INVESTMENT SERVICES, INC.
February 19, 1986 - June 12, 1989
KIDDER, PEABODY & CO. INCORPORATED
October 1, 1981 - February 25, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 6/12/1985
Foreign Currency Options ExaminationSeries 5
Date: 6/2/1982
Interest Rate Options ExaminationCurrent Firm
FINANCIAL SERVICES NETWORK, INC
CRD#: 109656 / SEC#: 801-60066
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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