Leslie Evan A. Frazier

TEK-WISE FINANCIAL

Castle Rock, CO

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CRD#: 5868758

Professional summary

Leslie Evan Anthony Frazier, who also goes by Leslie Evan Anthony Frazier, Leslie Frazier, is a registered financial advisor currently at TEK-WISE FINANCIAL located in Castle Rock, Colorado.

Leslie Evan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Leslie Evan has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie Evan Anthony Frazier | Leslie Frazier

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) MR. FRAZIER IS LICENSED TO SELL INSURANCE. APPROXIMATELY 20 HOURS A WEEK ARE SPENT ON THIS ACTIVITY. MR. FRAZIER OWNS THREE REAL ESTATE COMPANIES THAT HOLD RENTAL PROPERTIES. APPROXIMATELY ONE HOUR A WEEK IS SPENT ON THIS ACTIVITY. 2) St. Homobonus Consulting LLC; Investment related: No; Location: 976 Mountain View Dr, Castle Rock, CO 80104 USA; Description: The business is for referring businesses to a Pro-life payment processing company. It is a 1099 position.; Position Title: Mission outreach officer; Responsibilities Duties: My only responsibilities is to refer appropriate businesses to them.; Start date: 2023-12-08; Hours per month during trading hours: 10; Hours per month outside trading hours: 10.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Evan Anthony 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®

None

Experience

Current

May 31, 2023 - Present

TEK-WISE FINANCIAL

RIA

CRD#: 325783

Castle Rock, CO

Past

April 10, 2017 - August 19, 2022

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Denver, CO

Past

July 27, 2012 - April 3, 2017

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

LONE TREE, CO

Past

July 27, 2012 - April 3, 2017

CHARLES SCHWAB & CO., INC.

CRD#: 5393

LONE TREE, CO

Past

January 24, 2011 - June 1, 2012

EDWARD JONES

RIA

CRD#: 250

COLORADO SPRINGS, CO

Past

January 4, 2011 - June 1, 2012

EDWARD JONES

CRD#: 250

COLORADO SPRINGS, CO

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(5/31/2023)

IAR

Texas
(5/15/2024)

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: 1/17/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/31/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/30/2015

General Securities Sales Supervisor - Options Module Examination

Current Firm

TEK-WISE FINANCIAL

TEK-WISE FINANCIAL | TEK-WISE FINANCIAL PLANNERS LLC

CRD#: 325783 / SEC#:

Colorado

Registered Investment Advisory firm - (5/31/2023 Approved)

Texas

Registered Investment Advisory firm - (5/15/2024 Conditional Restricted)

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Contact information

Main Address

Castle Rock, CO

Mailing Address

Phone number

(719) 413-5614

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 5,100,000

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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Firm Stability Insights

Leslie Evan A. Frazier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Evan Anthony Frazier's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSONAL CAPITAL ADVISORS CORPORATION

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/17/2011

SIE

Date: 4/3/2017

Series 7

Date: 1/3/2011

Series 10

Date: 7/31/2015

Series 9

Date: 6/30/2015

Current Firm

TEK-WISE FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TEK-WISE FINANCIAL

TRUST BUT VERIFY

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