Robert D. Frazier

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CRD#: 2139432

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.

Robert Dennis Frazier was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6, Series 30, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

I AM THE SOLE MEMBER/OWNER OF FRAZIER CONSULTING, LLC, A CONSULTING PRACTICE FOCUSED ON PROBLEM SOLVING AND EDUCATION TO BUSINESS OWNERS AND INDIVIDUALS. I SPEND APPROXIMATELY 10% OF MY TIME ON THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2013 - December 31, 2024

AMERICAN MONEY MANAGEMENT, LLC

RIA

CRD#: 115357

West Sacramento, CA

Past

December 2, 1991 - September 23, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

November 27, 1991 - December 2, 1991

HALL & COMPANY INCORPORATED

CRD#: 13711

Past

September 16, 1991 - January 10, 1992

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AMERICAN MONEY MANAGEMENT, LLC

CRD#: 115357 / SEC#: 801-60976

RIA

Registered Investment Advisory firm - (3/4/2002 Approved)

Alaska

Registered Investment Advisory firm - (3/4/2002 Terminated)

California

Registered Investment Advisory firm - (6/25/2002 Terminated)

Oregon

Registered Investment Advisory firm - (6/18/2002 Terminated)

Texas

Registered Investment Advisory firm - (3/4/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/20/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/30/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/2/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/12/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 8/4/1995

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 27

Date: 12/23/1992

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/1992

General Securities Principal Examination

Current Firm

AMERICAN MONEY MANAGEMENT, LLC

CRD#: 115357 / SEC#: 801-60976

RIA

Registered Investment Advisory firm - (3/4/2002 Approved)

Alaska

Registered Investment Advisory firm - (3/4/2002 Terminated)

California

Registered Investment Advisory firm - (6/25/2002 Terminated)

Oregon

Registered Investment Advisory firm - (6/18/2002 Terminated)

Texas

Registered Investment Advisory firm - (3/4/2002 Terminated)

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Contact information

Main Address

14249 Rancho Santa Fe Farms Road, Rancho Santa Fe, CA 92067

Mailing Address

P.o. Box 675203, Rancho Santa Fe, CA 92067

Phone number

(858) 755-0909

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/21/2025)

Regulatory assets under management

Total Number of Accounts	1,674
AUM (Assets Under Management)	$ 734,010,908

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.

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Firm Stability Insights

Robert D. Frazier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SENTRA SECURITIES CORPORATION

HALL & COMPANY INCORPORATED

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

AMERICAN MONEY MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/20/2013

Series 63

Date: 9/11/1991

Series 3

Date: 4/30/1993

Series 7

Date: 7/2/1992

Series 6

Date: 9/12/1991

Series 30

Date: 8/4/1995

Series 27

Date: 12/23/1992

Series 24

Date: 10/2/1992

Current Firm

AMERICAN MONEY MANAGEMENT, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICAN MONEY MANAGEMENT, LLC

TRUST BUT VERIFY

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