James H. Frazer
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.
James Hall Frazer, who also goes by James H Frazer, Jim Frazer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 1989 - January 1, 1990
ALLISON, ROSENBLUM & HANNAHS, INC.
March 7, 1988 - February 11, 1989
U.S. ASSOCIATES, INC.
May 18, 1987 - March 10, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
October 29, 1986 - May 26, 1987
U.S. ASSOCIATES, INC.
July 29, 1986 - October 10, 1986
MORGAN STANLEY DW INC.
August 16, 1985 - July 22, 1986
T. J. RANEY & SONS, INC.
February 5, 1985 - August 1, 1985
CAPITAL RESOURCES, INC.
September 6, 1984 - February 19, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
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
Current Firm
ALLISON, ROSENBLUM & HANNAHS, INC.
CRD#: 22375 / SEC#: , 8-39699
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
