David G. Frazier

MALVERN RIDGE WEALTH MANAGEMENT

Englewood Cliffs, NJ 07632

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CRD#: 2988088

Professional summary

David G Frazier is a registered financial advisor currently at MALVERN RIDGE WEALTH MANAGEMENT located in Englewood Cliffs, New Jersey.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

David Frazier, Not Investment Related. Addr: Malvern Ridge Solutions LLC 1605 Grand Central Ave #6 Lavallette NJ 08735 Nature of Business: Other- Medical Practice Consulting/ Business Services, Position: Operations/ Billing Consultant. This activity accounts for up to 25% of his time and does not account for anytime during normal trading hours. David Frazier, Not Investment Related. Addr: Beach House Studio LLC 1605 Grand Central Ave #1 Lavallette NJ 08735 Nature of Business: Other- Art Studio, Position: Operations. This activity accounts for up to 1 % of his time and does not account for anytime during normal trading hours. David Frazier, Not Investment Related. Addr: 700 East Palisade Ave 1st fl Englewood Cliffs NJ 07632 Nature of Business: Other- Personal/Commercial Lines, Couch Braunsdorf Insurance Agency PO Box 888 Liberty Corner NJ 07938, Position: Personal/ Commercial Lines Broker. This activity accounts for up to 5% of his time and does not account for anytime during normal trading hours. David Frazier, Not Investment Related. Addr: 700 East Palisade Ave 1st fl Englewood Cliffs NJ 07632 Nature of Business: Other- Health Insurance, Benefit Mall 354 Eisenhower Pkwy #2850, Livingston, NJ 07039 Position: Health Insurance Broker, Payroll Specialist. This activity accounts for up to 5% of his time and does not account for anytime during normal trading hours. David Frazier, Not Investment Related. Addr: 700 East Palisade Ave 1st fl Englewood Cliffs NJ 07632 Nature of Business: Other- Insurance, Ash Brokerage 303 West Main St. Freehold NJ 07728 Position: Insurance Producer. This activity accounts for up to 2% of his time and does not account for anytime during normal trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David G Frazier's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 17, 2018 - Present

MALVERN RIDGE WEALTH MANAGEMENT

Office #1: 700 East Palisade Ave 1st Floor, Englewood Cliffs, NJ 07632

RIA

CRD#: 297714

Englewood Cliffs, NJ

Past

September 27, 2017 - June 25, 2018

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BRIDGEWATER, NJ

Past

September 12, 2017 - June 25, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

BRIDGEWATER, NJ

Past

May 15, 2013 - August 7, 2017

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

EAST BRUNSWICK, NJ

Past

March 19, 2012 - August 7, 2017

PRUCO SECURITIES, LLC.

CRD#: 5685

EAST BRUNSWICK, NJ

Past

September 11, 2007 - October 27, 2011

RUSHMORE CAPITAL, INC.

CRD#: 5940

MONTVALE, NJ

Past

April 26, 2006 - September 14, 2011

DOMESTIC SECURITIES, INC.

CRD#: 34721

MONTVALE, NJ

Past

February 28, 2005 - April 29, 2005

PUGLISI & CO.

CRD#: 19451

NEW YORK, NY

Past

April 7, 2003 - March 17, 2005

CROWN FINANCIAL GROUP, INC.

CRD#: 540

JERSEY CITY, NJ

Past

August 12, 2002 - March 20, 2003

PUGLISI & CO.

CRD#: 19451

NEW YORK, NY

Past

October 23, 2000 - August 12, 2002

CROWN FINANCIAL GROUP, INC.

CRD#: 540

JERSEY CITY, NJ

Past

September 21, 2000 - November 6, 2000

SHARPE CAPITAL, INC.

CRD#: 18452

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(7/17/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/30/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/6/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/20/2000

General Securities Representative Examination

Current Firm

MALVERN RIDGE WEALTH MANAGEMENT

CRD#: 297714 / SEC#:

New Jersey

Registered Investment Advisory firm - (7/17/2018 Approved)

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Contact information

Main Address

700 East Palisade Ave 1st Floor, Englewood Cliffs, NJ 07632

Mailing Address

Phone number

(908) 451-3177

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 6,915,973

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.

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David G. Frazier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David G Frazier's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

RUSHMORE CAPITAL, INC.

DOMESTIC SECURITIES, INC.

PUGLISI & CO.

CROWN FINANCIAL GROUP, INC.

PUGLISI & CO.

CROWN FINANCIAL GROUP, INC.

SHARPE CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2013

Series 63

Date: 10/16/2000

SIE

Date: 6/25/2018

Series 55

Date: 11/6/2000

Series 7

Date: 9/20/2000

Current Firm

MALVERN RIDGE WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MALVERN RIDGE WEALTH MANAGEMENT

TRUST BUT VERIFY

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