Paul J. Fraker
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.
Paul Joseph Fraker, who also goes by Pj Fraker, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1990. Paul had worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2015 - December 1, 2015
CONFLUENCE INVESTMENT ADVISORS, LLC
September 23, 2008 - December 31, 2010
CONFLUENCE INVESTMENT ADVISORS, LLC
August 24, 2007 - March 28, 2008
ACCESS SECURITIES, LLC
May 7, 1990 - July 27, 1993
ING BARING (U.S.) 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
Series 55
Date: 9/12/2007
Limited Representative-Equity Trader ExamCurrent Firm
CONFLUENCE INVESTMENT ADVISORS, LLC
CRD#: 175135 / SEC#:
Contact information
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.
