Kenneth D. Frasier
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.
Kenneth Dale Frasier, CFP®, who also goes by Dale Dale Frasier, Dale Frasier, K. Dale Frasier, Kd Frasier, Kenneth D. Frasier, Kenneth Frasier, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2009. Kenneth had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2013
Education
Rockhurst University
Master of Business Administration (MBA) - Marketing and Management
2000
Experience
July 13, 2018 - July 10, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 13, 2013 - July 13, 2018
STRATEGIC ADVISERS LLC
August 12, 2013 - July 10, 2024
FIDELITY BROKERAGE SERVICES LLC
April 20, 2012 - August 7, 2013
MML INVESTORS SERVICES, LLC
June 17, 2010 - March 27, 2012
AMERICAN CENTURY INVESTMENT SERVICES INC.
February 23, 2010 - March 4, 2010
LAWING FINANCIAL INC
January 19, 2010 - March 10, 2010
THE O.N. EQUITY SALES COMPANY
August 18, 2009 - September 21, 2009
MSI FINANCIAL SERVICES, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
Financial ConsultantCRD#: 288590TRUST BUT VERIFY
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