Bernard Joseph Frize Jr
Professional Summary
Bernard Joseph Frize JR, who also goes by Bernard J (jr) Frize, Bernard Joseph Frize, Bernard Frize, Bob Frize, Bobby Frize Jr, Robert Frize Jr, is a registered financial advisor currently at AW SECURITIES located in Houston, Texas and EASTERLY SECURITIES LLC located in Beverly, Massachusetts. Bernard is registered as a RR (Registered Representative) and started their career in finance in 1994. Bernard has worked at 18 firms and has passed the Series 63, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bernard J (jr) Frize, Bernard Joseph Frize, Bernard Frize, Bob Frize, Bobby Frize Jr, Robert Frize Jr
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
EASTERLY SECURITIES LLC | EASTERLY SECURITIES, LLC
Contact Information
Main Address
138 Conant Street Suite 100, Beverly, MA 01915Mailing Address
138 Conant Street Suite 100, Beverly, MA 01915Phone Number
(617) 231-4300Established
Delaware since 07/06/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EASTERLY ASSET MANAGEMENT OPERATIONS LLC | SOLE AND MANAGING MEMBER | — |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 2366022 |
| JULIANO JR, PHILIP L | CHIEF EXECUTIVE OFFICER | 4781008 |
| JUSTER, KENNETH G | CHIEF LEGAL OFFICER | 4788250 |
| MONTAGUE, MICHAEL | CHIEF FINANCIAL OFFICER | 5121305 |
| SMITH, ELIZABETH ANNE | FINOP | 1960549 |
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/13/2025)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2002About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Bernard Joseph Frize JR's CRS (Customer Relationship Summary).
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