Travis E. 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.
Travis Evans Frazier was a registered financial professional .
Travis is a previously registered financial professional and started their career in finance in 2006. Travis had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
December 12, 2016 - January 4, 2021
PEP ADVISORY LLC
March 24, 2016 - November 8, 2016
INTL FCSTONE CREDIT TRADING LLC
February 26, 2016 - March 11, 2016
PIPER SANDLER & CO.
October 8, 2007 - February 26, 2016
SIMMONS & COMPANY INTERNATIONAL
May 10, 2007 - September 26, 2007
RAYMOND JAMES & ASSOCIATES, INC.
October 16, 2006 - September 26, 2007
RAYMOND JAMES & ASSOCIATES, 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
PEP ADVISORY LLC
CRD#: 166636 / SEC#: , 8-69224
Contact information
FINRA licenses (25 States and Territories)
Documents
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.
