Danny C. 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.
Danny Carlton Frye was a registered financial advisor .
Danny is a previously registered financial advisor and started their career in finance in 1978. Danny had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, 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
November 14, 2011 - October 29, 2015
CENTER STREET SECURITIES, INC.
March 30, 2011 - August 2, 2011
REGAL INVESTMENT ADVISORS LLC
March 19, 2003 - November 16, 2009
INTERCAROLINA FINANCIAL SERVICES, INC.
March 19, 2003 - November 16, 2009
INTERCAROLINA FINANCIAL SERVICES, INC.
December 5, 2002 - March 19, 2003
BB&T INVESTMENT SERVICES, INC.
December 5, 2002 - March 19, 2003
BB&T INVESTMENT SERVICES, INC.
June 21, 2002 - December 2, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - December 2, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2001 - June 21, 2002
WACHOVIA SECURITIES, INC.
July 18, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
March 29, 1999 - June 30, 2001
CETERA ADVISORS LLC
June 6, 1994 - March 16, 1999
INTERCAROLINA FINANCIAL SERVICES, INC.
November 11, 1992 - May 25, 1994
SIGMA FINANCIAL CORPORATION
April 28, 1989 - February 20, 1990
UNITED INVESTORS INTERNATIONAL, INC.
December 9, 1985 - April 12, 1988
INDEPENDENCE SECURITIES, INC.
October 19, 1982 - December 10, 1985
EDWARD JONES
July 12, 1978 - September 16, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
July 12, 1978 - September 16, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
July 12, 1978 - September 16, 1982
IDS LIFE INSURANCE COMPANY
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 1
Date: 7/5/1978
Registered Representative ExaminationCurrent Firm
CENTER STREET SECURITIES, INC.
CRD#: 26898 / SEC#: , 8-42786
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
| Arbitration | 7 |
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.
