Bernard J. Frize

AW SECURITIES

Houston, TX 77027

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CRD#: 2366022

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.

Bernard is registered as a RR (Registered Representative) and started their career in finance in 1994. Bernard has worked at 17 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

Are you a "fiduciary"?

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernard Joseph Frize JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 13, 2025 - Present

AW SECURITIES

Office #1: 1800 W. Loop S. Ste 1980, Houston, TX 77027

CRD#: 103747

Houston, TX

Past

December 13, 2023 - April 19, 2024

MONEYLION SECURITIES LLC

CRD#: 298395

NEW YORK, NY

Past

June 1, 2021 - January 6, 2022

ALARIC DISTRIBUTORS, LLC

CRD#: 304165

PARAMUS, NJ

Past

November 21, 2019 - December 16, 2022

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

Past

August 20, 2019 - June 10, 2022

LGA CAPITAL

CRD#: 282415

ROCKVILLE, MD

Past

August 15, 2019 - November 28, 2022

MUZINICH CAPITAL LLC

CRD#: 146017

NEW YORK, NY

Past

May 23, 2019 - December 6, 2022

FENIMORE SECURITIES, INC.

CRD#: 104391

Paramus, NJ

Past

May 2, 2017 - April 1, 2019

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

February 18, 2016 - May 16, 2017

LPL FINANCIAL LLC

CRD#: 6413

PARAMUS, NJ

Past

December 2, 2013 - July 30, 2014

GUGGENHEIM INVESTOR SERVICES, LLC

CRD#: 30096

NEW YORK, NY

Past

July 23, 2012 - November 19, 2013

GDK, INC.

CRD#: 31785

ROAD TOWN, TORTOLA,

Past

December 23, 2011 - January 8, 2013

KAPITAL SECURITIES, LLC

CRD#: 156655

CHICAGO, IL

Past

December 17, 2008 - September 26, 2012

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

NEW YORK, NY

Past

September 19, 2005 - January 9, 2007

PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671

JERSEY CITY, NJ

Past

April 10, 1996 - September 19, 2005

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

December 14, 1995 - April 8, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 14, 1994 - November 20, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/13/2025)

Alaska
(1/16/2025)

Arizona
(1/28/2025)

Arkansas
(2/5/2025)

California
(1/30/2025)

Colorado
(1/13/2025)

Connecticut
(1/13/2025)

Delaware
(1/27/2025)

District of Columbia
(1/27/2025)

Florida
(1/13/2025)

Georgia
(3/26/2025)

Hawaii
(2/5/2025)

Idaho
(1/28/2025)

Illinois
(1/27/2025)

Indiana
(1/29/2025)

Iowa
(1/23/2025)

Kansas
(1/14/2025)

Kentucky
(1/13/2025)

Louisiana
(1/13/2025)

Maine
(1/13/2025)

Maryland
(1/14/2025)

Massachusetts
(1/13/2025)

Michigan
(1/13/2025)

Minnesota
(1/13/2025)

Mississippi
(1/13/2025)

Missouri
(1/13/2025)

Montana
(1/13/2025)

Nebraska
(1/13/2025)

Nevada
(1/13/2025)

New Hampshire
(1/13/2025)

New Jersey
(1/13/2025)

New Mexico
(1/27/2025)

New York
(2/2/2025)

North Carolina
(1/13/2025)

North Dakota
(1/27/2025)

Ohio
(1/14/2025)

Oklahoma
(1/13/2025)

Oregon
(1/17/2025)

Pennsylvania
(1/14/2025)

Rhode Island
(1/14/2025)

South Carolina
(1/13/2025)

South Dakota
(1/14/2025)

Tennessee
(1/27/2025)

Texas
(1/14/2025)

Utah
(1/13/2025)

Vermont
(1/27/2025)

Virginia
(1/13/2025)

Washington
(1/13/2025)

West Virginia
(1/16/2025)

Wisconsin
(1/13/2025)

Wyoming
(1/27/2025)

Exams

State Security Law Exam

Series 63

Date: 4/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/10/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/11/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/21/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 8/24/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/10/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 3/24/2001

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

AW SECURITIES

CRD#: 103747 / SEC#: 801-69038, 8-52250

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

340 Palladio Pkwy Suite 501, Folsom, CA 95630

Mailing Address

340 Palladio Pkwy Suite 501, Folsom, CA 95630

Phone number

(916) 482-2196

Established

Delaware since 10/26/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLWORTH FINANCIAL GROUP, L.P.	GENERAL PARTNER
BEATON, DANIEL STEWART	FINOP	4240769
FRIZE, BERNARD JOSEPH JR	CHIEF COMPLIANCE OFFICER - BD	2366022
GAMBLE, COREY C	CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO	4919573
GREENBERG, BARRY YALE	CHIEF LEGAL COUNSEL	5863733
GRIGSBY, GARY LAWSON	CEO	3167632
TAYLOR, KRISTIAN LEIGH	VICE PRESIDENT- OPERATIONS	4163800

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Bernard J. Frize

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernard Joseph Frize JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

MONEYLION SECURITIES LLC

ALARIC DISTRIBUTORS, LLC

G.RESEARCH, LLC

LGA CAPITAL

MUZINICH CAPITAL LLC

FENIMORE SECURITIES, INC.

NYLIFE DISTRIBUTORS LLC

LPL FINANCIAL LLC

GUGGENHEIM INVESTOR SERVICES, LLC

GDK, INC.

KAPITAL SECURITIES, LLC

RAFFERTY CAPITAL MARKETS, LLC

PERSHING ADVISOR SOLUTIONS LLC

PERSHING LLC

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/16/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/10/2000

Series 7

Date: 11/11/1994

Series 24

Date: 2/21/2005

Series 10

Date: 8/24/2002

Series 9

Date: 5/10/2002

Series 4

Date: 3/24/2001

FINRA

Current Firm

AW SECURITIES

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

AW SECURITIES

TRUST BUT VERIFY

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