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BS

Brian S. Spear

THE FRAZER LANIER COMPANY
Montgomery, AL 36103
Some features on this profile are disabled
CRD#: 1402685
BS

Professional summary

Brian Stanley Spear is a registered financial professional currently at THE FRAZER LANIER COMPANY, INCORPORATED located in Montgomery, Alabama.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1985. Brian has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Stanley Spear's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 22, 1985 - Present

THE FRAZER LANIER COMPANY, INCORPORATED

Office #1: 300 Water Street, Montgomery, AL 36103Office #2: 300 Water Street, Montgomery, AL 36104
BD
CRD#: 7089
Montgomery, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(10/24/1985)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TF
THE FRAZER LANIER COMPANY, INCORPORATED
THE FRAZER LANIER COMPANY, INCORPORATED

CRD#: 7089 / SEC#: , 8-20267

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
300 Water Street, Montgomery, AL 36103
Mailing Address
P.o. Box 5190, Montgomery, AL 36103
Phone number
(334) 265-8483
Established
Delaware since 01/01/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAZYCK, JOHN BARNWELLEXECUTIVE VICE PRESIDENT3134892
GRUBBS, ROBERT JASONEXECUTIVE VICE PRESIDENT/CHIEF COMPLIANCE OFFICER2641780
YOUNG, ROBERT HOUSTON JRCEO/PRESIDENT475334
WALDROP, SUSAN SHEPHERDCFO/SECRETARY/TREASURER4104169

Disclosures

Regulatory Event5

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.

Company Information

THE FRAZER LANIER COMPANY, INCORPORATED

CRD#: 7089Montgomery, AL 36103

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