James R. 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.
James Richard Frye JR, who also goes by James Richard Jr Frye, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 4 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
October 8, 2010 - August 12, 2015
FIM GROUP
February 1, 1999 - June 18, 2001
BANC ONE SECURITIES CORPORATION
September 29, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
March 4, 1996 - August 25, 1997
BANC ONE CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIM GROUP
CRD#: 109811 / SEC#: 801-33001
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
