BF
Benjamin B. Frazier
UNITED BROKERAGE SERVICES,
Myrtle Beach, SC 29582
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CRD#: 5270625
BF
Professional summary
Benjamin Bradstreet Frazier is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Myrtle Beach, South Carolina.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Benjamin has worked at 7 firms and has passed the Series 66, SIE 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Bradstreet Frazier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Bradstreet 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®
NoneExperience
Current
August 3, 2020 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 991 38th Ave N, Myrtle Beach, SC 29582Office #2: 1492 Stuart Engals Blvd, Mount Pleasant, SC 29464Office #3: 2636 U.s. 17 Business, Garden City, SC 29576Office #4: 288 Meeting Street, Charleston, SC 29401RIA
BD
CRD#: 39062
Myrtle Beach, SC
Current
August 3, 2020 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 991 38th Ave N, Myrtle Beach, SC 29582Office #2: 1492 Stuart Engals Blvd, Mount Pleasant, SC 29464Office #3: 2636 U.s. 17 Business, Garden City, SC 29576Office #4: 288 Meeting Street, Charleston, SC 29401RIA
BD
CRD#: 39062
Myrtle Beach, SC
Past
March 24, 2016 - August 24, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHARLESTON, SC
Past
March 24, 2016 - August 24, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLESTON, SC
Past
January 4, 2016 - March 28, 2016
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
Moncks Corner, SC
Past
October 19, 2009 - March 29, 2016
FIRST CITIZENS ASSET MANAGEMENT, INC
RIA
CRD#: 140777
MT PLEASANT, SC
Past
September 14, 2009 - January 4, 2016
FIRST CITIZENS SECURITIES CORPORATION
BD
CRD#: 140161
Moncks Corner, SC
Past
April 22, 2008 - August 28, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DANIEL ISLAND, SC
Past
January 1, 2008 - April 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DANIEL ISLAND, SC
Past
January 1, 2008 - August 28, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DANIEL ISLAND, SC
Past
April 10, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
MILLEDGEVILLE, GA
Past
March 23, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
MILLEDGEVILLE, GA
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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/25/2020)
RR
Florida(2/22/2023)
RR
Georgia(8/3/2020)
IAR
Georgia(7/2/2025)
RR
Maine(3/30/2023)
RR
Maryland(8/3/2020)
RR
Michigan(5/17/2024)
RR
North Carolina(8/3/2020)
RR
South Carolina(8/3/2020)
IAR
South Carolina(8/3/2020)
RR
Tennessee(1/19/2022)
RR
Texas(8/3/2020)
IAR
Texas(8/3/2020)
RR
West Virginia(4/25/2023)
RR
Wisconsin(3/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory assets under management
| Total Number of Accounts | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
Company Information
UNITED BROKERAGE SERVICES, INC
CRD#: 39062Myrtle Beach, SC 29582TRUST BUT VERIFY
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