Bernard J. Frize
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 professional 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 57TO, SIE, Series 55, Series 7, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Bernard Joseph Frize JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2025 - Present
AW SECURITIES
Office #1: 1800 W. Loop S. Ste 1980, Houston, TX 77027January 2, 2026 - Present
EASTERLY SECURITIES LLC
Office #1: 138 Conant Street Suite 100, Beverly, MA 01915December 13, 2023 - April 19, 2024
MONEYLION SECURITIES LLC
June 1, 2021 - January 6, 2022
ALARIC DISTRIBUTORS, LLC
November 21, 2019 - December 16, 2022
G.RESEARCH, LLC
August 20, 2019 - June 10, 2022
LGA CAPITAL
August 15, 2019 - November 28, 2022
MUZINICH CAPITAL LLC
May 23, 2019 - December 6, 2022
FENIMORE SECURITIES, INC.
May 2, 2017 - April 1, 2019
NYLIFE DISTRIBUTORS LLC
February 18, 2016 - May 16, 2017
LPL FINANCIAL LLC
December 2, 2013 - July 30, 2014
GUGGENHEIM INVESTOR SERVICES, LLC
July 23, 2012 - November 19, 2013
GDK, INC.
December 23, 2011 - January 8, 2013
KAPITAL SECURITIES, LLC
December 17, 2008 - September 26, 2012
RAFFERTY CAPITAL MARKETS, LLC
September 19, 2005 - January 9, 2007
PERSHING ADVISOR SOLUTIONS LLC
April 10, 1996 - September 19, 2005
PERSHING LLC
December 14, 1995 - April 8, 1996
CITIGROUP GLOBAL MARKETS INC.
November 14, 1994 - November 20, 1995
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
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
EASTERLY SECURITIES LLC
CRD#: 281103 / SEC#: , 8-69661
Contact information
FINRA licenses (51 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 |
Red Flags
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