Mark A. Sorgenfrei

FRAZEE INVESTMENT CONSULTING

Memphis, TN 38119

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CRD#: 4748351

Professional summary

Mark Allen Sorgenfrei JR., CFP®, who also goes by Mark A. Sorgenfrei Jr., is a registered financial advisor currently at FRAZEE INVESTMENT CONSULTING, INC. located in Memphis, Tennessee.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Mark has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark A. Sorgenfrei Jr.

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) - RIA

Click below to view Mark Allen Sorgenfrei JR.'s CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

August 10, 2016 - Present

FRAZEE INVESTMENT CONSULTING, INC.

Office #1: 5350 Poplar Avenue Suite 730, Memphis, TN 38119

RIA

CRD#: 123662

Memphis, TN

Past

February 26, 2004 - April 27, 2016

WADDELL & ASSOCIATES INC

RIA

CRD#: 105746

MEMPHIS, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FRAZEE INVESTMENT CONSULTING, INC.

CRD#: 123662 / SEC#: 801-115275

RIA

Registered Investment Advisory firm - (5/10/2019 Approved)

Mississippi

Registered Investment Advisory firm - (5/13/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Tennessee
(8/10/2016)

IAR

Texas
(2/10/2017)

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

Current Firm

FRAZEE INVESTMENT CONSULTING, INC.

CRD#: 123662 / SEC#: 801-115275

RIA

Registered Investment Advisory firm - (5/10/2019 Approved)

Mississippi

Registered Investment Advisory firm - (5/13/2019 Terminated)

Tennessee

Registered Investment Advisory firm - (5/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2019 Terminated)

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Contact information

Main Address

5350 Poplar Avenue Suite 730, Memphis, TN 38119

Mailing Address

Phone number

(901) 779-3940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FRAZEE INVESTMENT CONSULTING, COMPLETE BROCHURE (2/19/2025)

Regulatory assets under management

Total Number of Accounts	295
AUM (Assets Under Management)	$ 177,168,541

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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Mark A. Sorgenfrei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Sorgenfrei JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

FRAZEE INVESTMENT CONSULTING, INC.

WADDELL & ASSOCIATES INC

Primary Firm SEC Registration

FRAZEE INVESTMENT CONSULTING, INC.

State Registrations and Notice Filings

Exams

Current Firm

FRAZEE INVESTMENT CONSULTING, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FRAZEE INVESTMENT CONSULTING, INC.

TRUST BUT VERIFY

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