James J. 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.
James Joseph Frazier, who also goes by Tex Frazier, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - July 22, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
January 19, 2005 - December 31, 2011
THE O.N. EQUITY SALES COMPANY
February 18, 2004 - December 31, 2004
BLUE VASE SECURITIES, LLC
January 29, 2001 - January 12, 2004
MUTUAL SERVICE CORPORATION
February 15, 1990 - December 31, 2000
MUTUAL SERVICE CORPORATION
January 28, 1987 - September 12, 1989
ALLEGHENY INVESTMENTS, LTD.
April 30, 1986 - February 5, 1987
PRINCIPAL SECURITIES, 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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
