Christopher E. 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.
Christopher Edward Frazier was a registered financial advisor .
Christopher is a previously registered financial advisor and started their career in finance in 1994. Christopher had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2006 - November 12, 2008
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 15, 2002 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
February 22, 2002 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
August 31, 1994 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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