John W. Frazier
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.
John Wayne Frazier was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 3 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 4, Series 53 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 25, 1988 - July 19, 2000
POLARIS FINANCIAL SERVICES, INC.
March 21, 1986 - August 12, 1988
INVESTACORP, INC.
January 26, 1983 - July 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 5
Date: 3/3/1983
Interest Rate Options ExaminationCurrent Firm
POLARIS FINANCIAL SERVICES, INC.
CRD#: 14521 / SEC#: , 8-29480
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE POLARIS GROUP, INC. | PARENT | |
| JEFFERSON PILOT SECURITIES CORPORATION | STOCKHOLDER | 3870 |
| ANGARELLA, RONALD RICHARD | CHAIRMAN, PRESIDENT | 1785580 |
| ARMSTRONG, DAVID EDWARD | ASSISTANT VICE PRESIDENT, MARKETING | 2465424 |
| BOOTH, DAVID KENNETH | VICE PRESIDENT, MARKETING | 2030529 |
| BOULTER, WARREN THOMAS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 26914 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT, COMPLIANCE | 1745774 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT, ADMINISTRATION | 831061 |
| LEASE, SHARI JANE | SECRETARY | 2631744 |
| MURRAY, MICHAEL FRANCIS | ASSISTANT VICE PRESIDENT, INVESTMENT OPERATIONS | 2074275 |
| WALCZAK, ROBERT JOSEPH | OFFICER FOR INSURANCE PURPOSES | 456804 |
| WESTON, JOHN ARTHUR | TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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