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SF

Sean A. Frazier

CP INVESTMENTS
New York, NY 10019
Some features on this profile are disabled
CRD#: 6342958
SF

Professional summary

Sean A Frazier is a registered financial professional currently at CP INVESTMENTS, LLC located in New York, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2022. Sean has worked at 2 firms and has passed the Series 79TO and SIE 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 A Frazier'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

August 15, 2024 - Present

CP INVESTMENTS, LLC

Office #1: 1370 Avenue Of The Americas 30th Floor, New York, NY 10019
BD
CRD#: 24029
New York, NY
Past

January 1, 2022 - September 4, 2024

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 12/29/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/10/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CP INVESTMENTS, LLC
CANYON PARTNERS INCORPORATED | RATHGAR SECURITIES INC. | CP INVESTMENTS, LLC | CP INVESTMENTS INCORPORATED | COLDWATER SECURITIES INCORPORATED

CRD#: 24029 / SEC#: , 8-40862

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

Main Address
2000 Avenue Of The Stars 11th Floor, Los Angeles, CA 90067-4700
Mailing Address
2000 Avenue Of The Stars 11th Floor, Los Angeles, CA 90067-4700
Phone number
(310) 272-1000
Established
California since 01/30/1989
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
CANYON PARTNERS LLC100% SHAREHOLDER, CP INVESTMENTS LLC
ANDERSON, DOUGLAS ANTHONYDESIGNATED PRINCIPAL5079532
PRINN, MATTHEW EVAN REWSECFO AND FINOP4615152
YOUNG, DAVIDCHIEF COMPLIANCE OFFICER4829841

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

CP INVESTMENTS, LLC

CRD#: 24029New York, NY 10019

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