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Detailed Report
ROBERT W FRAZIER
ROB FRAZIER
CRD#: 4064877
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 6460 WILMINGTON PIKE
DAYTON, OH 45459
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2012 (7 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2003 - 2005 (1 year)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1999 - 2003 (3 years)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2012 (6 years)
Disclosure(s)
View By:
2/9/2016
Customer Dispute
Denied
1/22/2009
Customer Dispute
Denied
10/8/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 12/16/2014
B
New Jersey 12/16/2014
B
Arizona 10/1/2012
B
New Mexico 7/11/2013
B
California 10/1/2012
B
North Carolina 10/1/2012
B
Colorado 2/19/2013
B
Ohio 10/1/2012
B
Connecticut 11/6/2018
IA
Ohio 10/1/2012
B
Florida 10/1/2012
B
Oregon 5/29/2024
B
Georgia 12/16/2014
B
Pennsylvania 10/1/2012
B
Illinois 2/13/2015
B
South Carolina 6/10/2016
B
Indiana 10/1/2012
B
Tennessee 3/3/2021
B
Kansas 6/18/2018
B
Texas 10/1/2012
B
Kentucky 10/1/2012
IA
Texas 9/20/2013
B
Maine 10/1/2012
B
Utah 10/1/2012
B
Maryland 3/21/2023
B
Virginia 10/1/2012
B
Massachusetts 10/1/2012
B
Washington 12/16/2014
B
Michigan 10/1/2012
B
Wyoming 12/16/2014

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
6460 WILMINGTON PIKE, DAYTON, OH 45459
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
6460 WILMINGTON PIKE, DAYTON, OH 45459
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/26/2006 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DAYTON, OH
B
 07/06/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DAYTON, OH
B
 09/15/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
B
 12/07/1999 - 09/09/2003 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.