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Stephen G Frazer

Charles Schwab & Co., Inc.

West Palm Beach, FL

Palm Beach Gardens, FL

CRD 6578403

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-03-31
  • FL RA
    APPROVED
    Since 2022-03-31

Branch Locations

501 S. Flagler Dr, West Palm Beach, FL 33401-5909 • United States

4675 Pga Boulevard, Palm Beach Gardens, FL 33418 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade Westminster CO 01/2016 09/2018
Td Ameritrade, Inc Westminster CO 12/2017 07/2024
Charles Schwab & Co., Inc. West Palm Beach FL 01/2022 Present
Td Ameritrade Investment Management, Llc. West Palm Beach FL 12/2018 09/2023
Charles Schwab Bank, Ssb West Palm Beach FL 07/2022 Present
  • 01/2016 → 09/2018
    Scottrade
    Westminster, CO
  • 12/2017 → 07/2024
    Td Ameritrade, Inc
    Westminster, CO
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    West Palm Beach, FL
  • 12/2018 → 09/2023
    Td Ameritrade Investment Management, Llc.
    West Palm Beach, FL
  • 07/2022 → Present
    Charles Schwab Bank, Ssb
    West Palm Beach, FL
Previous Registrations
  • 2019-01-14 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Boca Raton, FL
    West Palm Beach, FL
  • 2018-12-17 → 2022-10-14
    Td Ameritrade, Inc.
    Boca Raton, FL
    West Palm Beach, FL
    Omaha, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-13
S63 Uniform Securities Agent State Law Examination 2016-04-05
  • S66 Uniform Combined State Law Examination
    2018-12-13
  • S63 Uniform Securities Agent State Law Examination
    2016-04-05
Other Names
  • Stephen Frazer

View on SEC IAPD

Nearby Firms

CLEARSKY ADVISORS LLC
MYRIAD ASSET MANAGEMENT ADVISORS LLC
TCG STRATEGIC INCOME ADVISOR LLC

Nearby Investors

SARA DAWN ROTH
SUZANN RITA ZADANOSKY
ROBERT EDWARD DEFOREST

Nearby Offices

CLEARSKY ADVISORS LLC · WEST PALM BEACH, FL
MYRIAD ASSET MANAGEMENT ADVISORS LLC · WEST PALM BEACH, FL
TCG STRATEGIC INCOME ADVISOR LLC · WEST PALM BEACH, FL

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