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Mark L. Frazier

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CRD#: 703868
MF

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.

Mark Livingston Frazier was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 9 firms and has passed the Series 65, Series 63, Series 5 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 1, 2010 - December 31, 2019

FRAZIER CAPITAL MANAGEMENT, LLC

RIA
CRD#: 137684
WINSTON SALEM, NC
Past

January 24, 2006 - July 30, 2010

FRAZIER CAPITAL MANAGEMENT, LLC

RIA
CRD#: 137684
WINSTON SALEM, NC
Past

December 31, 2001 - January 18, 2006

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

August 14, 2000 - January 18, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 16, 1993 - August 14, 2000

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

January 25, 1993 - February 16, 1993

J.C. BRADFORD & CO.

BD
CRD#: 1287
Past

September 15, 1989 - January 26, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 31, 1989 - September 15, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

November 14, 1988 - February 15, 1989

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
Past

May 11, 1987 - November 16, 1988

FIRST TRYON SECURITIES, INC.

BD
CRD#: 17648
Past

October 1, 1984 - May 20, 1987

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
Past

January 19, 1980 - October 11, 1984

MORGAN STANLEY DW INC.

BD
CRD#: 7556

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

State Security Law Exam
IAR
Series 65
Date: 5/6/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/8/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1980
General Securities Representative Examination

Current Firm

FC
FRAZIER CAPITAL MANAGEMENT, LLC
FRAZIER CAPITAL MANAGEMENT LLC | FRAZIER CAPITAL MANAGEMENT, LLC

CRD#: 137684 / SEC#: 801-64985

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Contact information

Main Address
4400 Silas Creek Pkwy. Ste. 200, Winston Salem, NC 27104
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

FRAZIER CAPITAL MANAGEMENT, LLC

CRD#: 137684

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