Raymond A. Frias
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.
Raymond Andrew Frias, who also goes by Raymond A Frias, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1984. Raymond had worked at 10 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 4, 1993 - October 31, 1997
DUKE & CO., INC.
January 13, 1993 - June 23, 1993
M.S. FARRELL & COMPANY, INC.
September 4, 1991 - February 23, 1993
HANOVER, STERLING & COMPANY LTD.
February 4, 1991 - August 20, 1991
PAULSON INVESTMENT COMPANY LLC
July 17, 1990 - October 31, 1990
BARRETT DAY SECURITIES, INC.
January 16, 1990 - May 7, 1990
ROBERT TODD FINANCIAL CORP.
August 25, 1989 - December 19, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 12, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
May 19, 1988 - March 10, 1989
INVESTORS CENTER, INC.
November 23, 1984 - June 2, 1988
BLINDER, ROBINSON & CO., INC.
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
DUKE & CO., INC.
CRD#: 8035 / SEC#: , 8-24174
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.
