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SF

Sean D. Frazer

PERICULUM CAPITAL MARKETS
Carmel, IN 46032
Some features on this profile are disabled
CRD#: 5875080
SF

Professional summary

Sean David Frazer is a registered financial professional currently at PERICULUM CAPITAL MARKETS, LLC located in Carmel, Indiana.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2011. Sean has worked at 1 firm and has passed the Series 63, SIE, Series 82, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean David Frazer's CRS (Customer Relationship Summary).
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

September 24, 2015 - Present

PERICULUM CAPITAL MARKETS, LLC

Office #1: 4 Carter Green Suite 200, Carmel, IN 46032Office #2: 4 Carter Green, Suite 200, Carmel, IN 46032
BD
CRD#: 43362
Carmel, IN
Past

January 28, 2011 - January 19, 2012

PERICULUM CAPITAL MARKETS, LLC

BD
CRD#: 43362
CARMEL, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Indiana
(1/4/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 11/12/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 10/22/2015
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 9/24/2015
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/1/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PERICULUM CAPITAL MARKETS, LLC
PERICULUM ADVISORS, INC. | SHORTLE ERWIN & COMPANY, LLC. | PREICULUM ADVISORS, LLC. | PERICULUM CAPITAL MARKETS, LLC | PERICULUM ADVISORS, LLC. | PERICULUM ADVISORS, LLC

CRD#: 43362 / SEC#: , 8-50240

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4 Carter Green Suite 200, Carmel, IN 46032
Mailing Address
4 Carter Green Suite 200, Carmel, IN 46032
Phone number
(317) 636-1800
Established
Indiana since 12/01/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PERICULUM CAPITAL COMPANY, LLCSHAREHOLDER
CANIFF, CHRISTOPHER MICHAELPRESIDENT4618748
FRAZER, SEAN DAVIDCHIEF COMPLIANCE OFFICER5875080
SCHUTTE, FRANCIS J.CHIEF FINANCIAL OFFICER AND FINOP6054401

Disclosures

Regulatory Event1

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

PERICULUM CAPITAL MARKETS, LLC

CRD#: 43362Carmel, IN 46032

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