Carl A. Frye
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.
Carl Andrew Frye, who also goes by Andy Frye, Carl Frye, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1994. Carl had worked at 7 firms and has passed the Series 66, 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
January 24, 2012 - July 12, 2012
BEST DIRECT SECURITIES, LLC
January 3, 2012 - July 16, 2012
CONCORDIUS CAPITAL ADVISORS
July 18, 2006 - July 27, 2007
COUNTRY TRUST BANK
June 7, 2006 - May 17, 2011
COUNTRY CAPITAL MANAGEMENT COMPANY
June 18, 2004 - May 3, 2006
EQUITABLE ADVISORS, LLC
December 8, 2003 - May 3, 2006
EQUITABLE ADVISORS, LLC
September 16, 1994 - January 9, 1995
SCHNEIDER SECURITIES, INC.
August 26, 1994 - September 14, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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
BEST DIRECT SECURITIES, LLC
CRD#: 146053 / SEC#: , 8-67777
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEREGRINE FINANCIAL GROUP, INC | OWNER / SOLE MEMBER | |
| LISHCHYNSKY, MARK JOHN JR | CHIEF COMPLIANCE OFFICER | 2478952 |
| LISHCHYNSKY, MARK JOHN JR | PRESIDENT | 2478952 |
| SADZEWICZ, GERY JOSEPH | FINOP | 1090963 |
| TEGTMEIER, JAMES GORDON | BRANCH OFFICE MANAGER / GENERAL SECURITIES PRINCIPAL | 4042452 |
| TEGTMEIER, JAMES GORDON | SROP & CROP | 4042452 |
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.
