Stephen B. Frazier
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.
Stephen Bertram Frazier, who also goes by Steve Bertram Frazier, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - November 14, 2023
FIS BROKERAGE & SECURITIES SERVICES LLC
August 16, 2007 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
March 15, 2005 - July 27, 2006
INTL ADVISORY CONSULTANTS INC.
July 21, 2004 - July 27, 2006
STERNE, AGEE & LEACH, INC.
July 19, 2004 - July 27, 2006
STERNE, AGEE & LEACH, INC.
July 1, 2003 - July 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 9, 1997 - July 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 25, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 7, 1995 - October 17, 1995
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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