Walter J. Fraser
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.
Walter J Fraser, who also goes by Jay Fraser III, W Jay Fraser III, Walter J Fraser Iii, Walter Javan Fraser Iii, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1991. Walter had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2018 - August 28, 2019
MATRIX EXECUTIONS, LLC
March 25, 2014 - December 4, 2017
IEX SERVICES LLC
November 3, 2010 - December 12, 2013
DEUTSCHE BANK SECURITIES INC.
March 4, 2010 - August 10, 2010
CITADEL SECURITIES LLC
July 31, 1995 - December 14, 2009
VIRTU ITG LLC
July 22, 1991 - June 5, 1995
LEHMAN BROTHERS 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: 10/24/2001
Limited Representative-Equity Trader ExamCurrent Firm
MATRIX EXECUTIONS, LLC
CRD#: 38455 / SEC#: , 8-48255
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 9 |
Red Flags
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