James L. 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.
James Lee Frazier was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
May 20, 2015 - July 1, 2020
NEXT FINANCIAL GROUP, INC.
January 7, 2010 - July 1, 2020
NEXT FINANCIAL GROUP, INC.
November 2, 2007 - January 7, 2010
PRINCIPAL SECURITIES, INC.
July 3, 2006 - December 21, 2007
OBSIDIAN FINANCIAL GROUP, LLC
April 25, 2005 - July 12, 2006
AMERIFINANCIAL
April 28, 2004 - February 10, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 2003 - March 24, 2004
MOMENTUM INDEPENDENT NETWORK INC.
June 7, 2001 - March 24, 2004
MOMENTUM INDEPENDENT NETWORK INC.
June 2, 1999 - June 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 2, 1997 - June 17, 1999
MORGAN STANLEY DW INC.
October 3, 1996 - May 29, 1997
FAB SECURITIES OF AMERICA, 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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
