CF
Czarina L. Frias
DUNHAM
San Diego, CA 92122
Some features on this profile are disabled
CRD#: 5843959
CF
Professional summary
Czarina Lagman Frias, who also goes by Czarina L Frias, Garina (mispelling) Frias, Czarina Lagman Frias, Czarina Frias, is a registered financial advisor currently at DUNHAM located in San Diego, California.
Czarina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Czarina has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Czarina L Frias | Garina (mispelling) Frias | Czarina Lagman Frias | Czarina Frias
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.
WARNER PACIFIC POSITION: Medicare Sales Agent NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 10/17/2018 ADDRESS: 32110 Agoura Road, Westlake Village CA 91361, United States DESCRIPTION: Sell Medicare Advantage Plans Dickerson Insurance Services DICKERSON INSURANCE SERVICES POSITION: Independent Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/22/2018 ADDRESS: 1918 Riverside Drive, Los Angeles CA 90039, United States DESCRIPTION: Agent for group and individual health. HOMESTEADERS LIFE COMPANY POSITION: Independent Insurance Agent NATURE: Pre-Need Funeral Insurance Funding INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2019 ADDRESS: 5700 Westown Parkway West, Des Moines IA 50266, United States DESCRIPTION: Pre-Need/Pre-Planning Funeral Insurance Funding sales.
CRS (Client Relationship Summary) - RIA
Click below to view Czarina Lagman Frias's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Czarina Lagman Frias'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
April 26, 2023 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122RIA
BD
CRD#: 13162
San Diego, CA
Current
April 26, 2023 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122RIA
BD
CRD#: 13162
San Diego, CA
Past
September 27, 2019 - July 27, 2022
DUNHAM
RIA
CRD#: 13162
SAN DIEGO, CA
Past
May 30, 2019 - July 27, 2022
DUNHAM
BD
CRD#: 13162
SAN DIEGO, CA
Past
November 15, 2017 - May 17, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN DIEGO, CA
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".
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
California(4/26/2023)
IAR
California(4/26/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/30/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6256 Greenwich Drive Suite 550, San Diego, CA 92122
Mailing Address
P.o. Box 910309, San Diego, CA 92191
Phone number
(858) 964-0500
Established
California since 05/26/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (10 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | |
| BOISCH, HELMUT | CHIEF OPERATIONS OFFICER | 5371920 |
| CAPIZZI, SALVATORE MICHAEL | CHIEF SALES AND MARKETING OFFICER | 1037757 |
| DUNHAM, JEFFREY ALAN | CHIEF EXECUTIVE OFFICER | 1149167 |
| DYKMANS, RYAN JOHN | PRESIDENT AND CHIEF INVESTMENT OFFICER | 4847419 |
| GARDYNE, JENNIFER KIM | CHIEF FINANCIAL OFFICER | 8188759 |
| PALERMO, VIKTORIA IRENA | CHIEF COMPLIANCE OFFICER | 4769903 |
Regulatory assets under management
| Total Number of Accounts | 12,032 |
| AUM (Assets Under Management) | $ 4,737,607,372 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/23/2024 | ||
| 07/26/2023 |
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.
