Kyle J. 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.
Kyle James Fraser, who also goes by Kyle James Fraser, Kyle Fraser, was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 2015. Kyle had worked at 5 firms and has passed the Series 66, SIE 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
March 4, 2021 - November 29, 2021
VERITY INVESTMENTS, INC.
February 18, 2021 - November 29, 2021
VERITY ASSET MANAGEMENT
June 3, 2019 - December 26, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 3, 2019 - December 26, 2019
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 21, 2017 - April 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 21, 2017 - April 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2015 - November 17, 2016
RAYMOND JAMES & ASSOCIATES, INC.
April 3, 2015 - November 17, 2016
RAYMOND JAMES & ASSOCIATES, INC.
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
Current Firm
VERITY INVESTMENTS, INC.
CRD#: 41527 / SEC#: , 8-49474
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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