Rodney E. 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.
Rodney Edward Frye, who also goes by Rod Frye, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1996. Rodney had worked at 8 firms and has passed the 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 28, 2008 - February 6, 2014
K.C. WARD FINANCIAL
April 21, 2005 - March 28, 2008
J.P. TURNER & COMPANY, L.L.C.
August 26, 2002 - February 22, 2005
AMERICAN CAPITAL PARTNERS, LLC
January 7, 2000 - February 28, 2002
JOSEPH STEVENS & CO., INC.
November 28, 1998 - April 28, 1999
JOSEPH STEVENS & CO., INC.
October 16, 1997 - April 8, 1998
ABBEY-ASHFORD SECURITIES, INC.
September 16, 1997 - October 8, 1997
TAJ GLOBAL EQUITIES, INC.
July 2, 1997 - September 20, 1997
MEYERS POLLOCK ROBBINS, INC.
March 21, 1996 - January 28, 1998
H G I
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
K.C. WARD FINANCIAL
CRD#: 145135 / SEC#: , 8-67706
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
