Jeffrey D. Fazekas
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.
Jeffrey Dean Fazekas was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 7 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
February 4, 2011 - December 31, 2012
SPC
January 28, 2011 - December 31, 2012
SIGMA FINANCIAL CORPORATION
December 12, 2003 - December 21, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 7, 1997 - August 10, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
December 9, 1996 - November 17, 1997
FIRST OF MICHIGAN CORPORATION
February 14, 1995 - December 12, 1996
SUNPOINT SECURITIES, INC.
June 2, 1994 - February 9, 1995
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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.
