Rod B. Frye
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.
Rod Byron Frye was a registered financial professional .
Rod is a previously registered financial professional and started their career in finance in 1977. Rod had worked at 5 firms and has passed the Series 63, Series 7, Series 3, Series 5, Series 1 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
March 8, 1999 - December 31, 2002
MISCHLER FINANCIAL GROUP, INC.
November 19, 1990 - March 6, 1992
MORGAN STANLEY DW INC.
April 1, 1987 - November 1, 1990
LEHMAN BROTHERS INC.
March 16, 1987 - March 27, 1987
MORGAN STANLEY DW INC.
December 27, 1979 - November 1, 1990
LEHMAN BROTHERS INC.
May 18, 1979 - January 12, 1980
MORGAN STANLEY DW INC.
March 2, 1978 - October 13, 1983
UMIC, INC.
May 2, 1977 - April 18, 1978
MARCUS, STOWELL & BEYE, 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
Series 5
Date: 2/11/1983
Interest Rate Options ExaminationSeries 1
Date: 4/23/1977
Registered Representative ExaminationCurrent Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
