Brian M. Fraser
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.
Brian M Fraser was a registered financial advisor .
Brian is a previously registered financial advisor and started their career in finance in 2010. Brian had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 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
October 10, 2013 - June 25, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 16, 2013 - October 11, 2013
BBVA SECURITIES INC.
March 21, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 11, 2011 - July 8, 2011
INTL ADVISORY CONSULTANTS INC.
January 14, 2011 - July 8, 2011
STERNE, AGEE & LEACH, INC.
August 16, 2010 - January 21, 2011
EQUITABLE ADVISORS, LLC
April 27, 2010 - January 21, 2011
EQUITABLE ADVISORS, LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/7/2016
Limited Representative-Equity Trader ExamCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
