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Stephen G Frazer

Charles Schwab & Co., Inc.

West Palm Beach, FL

Palm Beach Gardens, FL

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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

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WAYNE JULIUS SAFRO
GEORGE S MAYER
SCOTT BERNARD ARENTSEN
NATHALIE TREMBLAY

Other 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
SUNRISE MANAGER LLC · WEST PALM BEACH, FL
SRT GROUP LLC · WEST PALM BEACH, FL
UBS FINANCIAL SERVICES INC. · WEST PALM BEACH, FL
CIBC PRIVATE WEALTH ADVISORS, INC. · WEST PALM BEACH, FL
CIBC PRIVATE WEALTH ADVISORS, INC. · West Palm Beach, FL

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