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MF

Michael J. Frasier

PGB SECURITIES
BEDMINSTER, NJ 07921
CRD#: 3013598
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MF
Michael John FrasierPGB SECURITIES

Professional summary

Michael John Frasier, who also goes by Mike Frasier, is a registered financial professional currently at PGB SECURITIES LLC located in Bedminster, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 87, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Frasier

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Frasier'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

May 1, 2020 - Present

PGB SECURITIES LLC

Office #1: 500 Hills Drive, Bedminster, NJ 07921
BD
CRD#: 301472
BEDMINSTER, NJ
Past

December 16, 2024 - May 27, 2026

PEACHTREE PC INVESTORS, LLC

BD
CRD#: 301004
ATLANTA, GA
Past

March 15, 2024 - October 3, 2025

DYNASTY SECURITIES, LLC

BD
CRD#: 159076
SAINT PETERSBURG, FL
Past

January 19, 2024 - July 24, 2024

DELPHOS MMJ L.P.

BD
CRD#: 137389
NEW YORK, NY
Past

April 17, 2023 - September 25, 2023

DYNASTY SECURITIES, LLC

BD
CRD#: 159076
SAINT PETERSBURG, FL
Past

June 29, 2022 - December 14, 2023

AQR INVESTMENTS, LLC

BD
CRD#: 289244
GREENWICH, CT
Past

January 4, 2022 - August 31, 2022

ROW ASSOCIATES, LLC

BD
CRD#: 309073
NASHVILLE, TN
Past

February 9, 2021 - May 9, 2025

FLAGSTAR ADVISORS

BD
CRD#: 104233
NEW YORK, NY
Past

May 13, 2019 - February 6, 2020

DYNASTY SECURITIES, LLC

BD
CRD#: 159076
SAINT PETERSBURG, FL
Past

September 5, 2018 - December 31, 2019

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
BOCA RATON, FL
Past

June 26, 2017 - January 22, 2018

DYNASTY SECURITIES, LLC

BD
CRD#: 159076
SAINT PETERSBURG, FL
Past

August 15, 2002 - May 19, 2017

CANTELLA & CO., INC.

RIA
CRD#: 13905
BOSTON, MA
Past

March 17, 2000 - May 19, 2017

CANTELLA & CO., INC.

BD
CRD#: 13905
BOSTON, MA
Past

November 20, 1998 - March 10, 2000

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/26/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/29/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 3/2/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/12/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/8/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/20/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/24/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PGB SECURITIES LLC
PGB SECURITIES LLC | PGBANK SECURITIES LLC

CRD#: 301472 / SEC#: , 8-70338

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
500 Hills Drive, Bedminster, NJ 07921
Mailing Address
500 Hills Drive, Bedminster, NJ 07921
Phone number
(908) 443-5385
Established
New Jersey since 03/21/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
PEAPACK-GLADSTONE BANKMEMBER
FRASIER, MICHAEL JOHNCCO3013598
SERRA, CARL ANTHONY IIIFINOP, POO AND PFO3179039
WASER, ERIC HUGOCEO7151260

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PGB SECURITIES LLC

CRD#: 301472Bedminster, NJ 07921

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