John D. Frazier
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.
John Douglas Frazier, who also goes by John Douglas Fraizer, Doug Frazier, J P Frazier, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 1991 - June 20, 2016
SOUTHERN PACIFIC SECURITIES, INC.
June 22, 1989 - July 29, 1991
PIM FINANCIAL SERVICES, INC.
September 21, 1981 - June 29, 1989
WALL STREET WEST, 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
SOUTHERN PACIFIC SECURITIES, INC.
CRD#: 23833 / SEC#: , 8-40749
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, JOHN DEE JR | PRESIDENT, CEO, CFO, CCO | 819111 |
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.
