Marc A. Frazier
Professional summary
Marc Aaron Frazier was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marc is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Marc had worked at 6 firms, which includes SAWTOOTH SECURITIES LLC, HORNOR TOWNSEND & KENT LLC, THE ADVISORS GROUP INC., PRUDENTIAL EQUITY GROUP LLC, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2002 - March 9, 2004
SAWTOOTH SECURITIES, LLC
October 31, 2000 - July 15, 2002
HORNOR, TOWNSEND & KENT, LLC
January 19, 2000 - July 15, 2002
HORNOR, TOWNSEND & KENT, LLC
September 23, 1999 - January 7, 2000
THE ADVISORS GROUP, INC.
July 7, 1995 - September 2, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 30, 1994 - January 4, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 30, 1994 - January 4, 1995
SIGNATOR INVESTORS, INC.
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
SAWTOOTH SECURITIES, LLC
CRD#: 105386 / SEC#: , 8-52983
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHWEST ANGEL NETWORK, INC. | OWNER | |
| MECHAM EQUITIES & INVESTMENTS | OWNER | |
| MECHAM, SCOTT | CEO, CFO, OP, MP | 2640927 |
Red Flags
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