Kristin M. Frazier

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CRD#: 5213694

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.

Kristin Marie Frazier, who also goes by Kristin Marie Marella, Kristin Marella, was a registered financial professional .

Kristin is a previously registered financial professional and started their career in finance in 2007. Kristin had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kristin Marie Marella | Kristin Marella

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.

(1)Name of Business: First Community Credit Union Address: 15260 Fm 529 Rd, Houston, TX, 77095-3252, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 12/17/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Associate Financial Advisor (2)Name of Business: First Community Wealth Advisors Address: 15260 Fm 529 Rd, Houston, TX, 77095-3252, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/17/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Associate Financial Advisor

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 28, 2022 - January 23, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Houston, TX

Past

February 7, 2022 - January 23, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Houston, TX

Past

June 18, 2018 - October 22, 2018

EDWARD JONES

RIA

CRD#: 250

KATY, TX

Past

June 18, 2018 - October 22, 2018

EDWARD JONES

CRD#: 250

KATY, TX

Past

January 21, 2016 - June 13, 2017

EDWARD JONES

RIA

CRD#: 250

TOMBALL, TX

Past

January 21, 2016 - June 13, 2017

EDWARD JONES

CRD#: 250

TOMBALL, TX

Past

July 24, 2012 - July 9, 2015

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

ERIE, PA

Past

July 24, 2012 - July 9, 2015

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

ERIE, PA

Past

May 4, 2010 - July 11, 2012

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

PHILADELPHIA, PA

Past

May 3, 2010 - July 11, 2012

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

January 9, 2009 - January 29, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FORT MYERS, FL

Past

January 9, 2009 - January 29, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FORT MYERS, FL

Past

May 6, 2008 - January 13, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FT. MYERS, FL

Past

May 6, 2008 - January 13, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

FT. MYERS, FL

Past

November 14, 2007 - April 9, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NAPLES, FL

Past

July 11, 2007 - April 9, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NAPLES, FL

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".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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.

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 66

Date: 2/25/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/7/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/13/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/10/2007

General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,030,208
AUM (Assets Under Management)	$ 344,868,106,925

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/12/2025	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Kristin M. Frazier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

EDWARD JONES

EDWARD JONES

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2022

Series 7TO

Date: 2/7/2022

SIE

Date: 10/1/2018

Series 31

Date: 5/13/2008

Series 7

Date: 7/10/2007

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

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