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Timothy Charles Frazier

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-04-14
TX RA APPROVED 2023-04-14
  • IL RA
    APPROVED
    Since 2023-04-14
  • TX RA
    APPROVED
    Since 2023-04-14

Branch Locations

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • 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
Goldman, Sachs & Co Chicago IL 12/2009 03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 03/2023 Present
Bank Of America, N.A. Chicago IL 05/2023 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-13
S63 Uniform Securities Agent State Law Examination 2007-05-11
  • S66 Uniform Combined State Law Examination
    2023-04-13
  • S63 Uniform Securities Agent State Law Examination
    2007-05-11
Other Names
  • Timothy C Frazier

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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