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Brett Steven Frazier

Raymond James & Associates, Inc.

Chino, CA

Newport Beach, CA

CRD 7687459

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

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

Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-07-12
CA RA APPROVED 2023-05-01
  • TX RA
    APPROVED
    Since 2023-07-12
  • CA RA
    APPROVED
    Since 2023-05-01

Branch Locations

Chino, CA • United States

620 Newport Ctr Dr Suite 900, Newport Beach, CA 92660 • 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
Raymond James & Associates, Inc. Newport Beach CA 01/2023 Present
The Hartford Brea CA 01/2019 01/2023
Humanscale Corporation Los Angeles CA 08/2017 01/2019
E3 Consulting Los Angeles CA 10/2014 08/2017
Alta Vista Country Club Placentia CA 12/2011 07/2024
  • 01/2023 → Present
    Raymond James & Associates, Inc.
    Newport Beach, CA
  • 01/2019 → 01/2023
    The Hartford
    Brea, CA
  • 08/2017 → 01/2019
    Humanscale Corporation
    Los Angeles, CA
  • 10/2014 → 08/2017
    E3 Consulting
    Los Angeles, CA
  • 12/2011 → 07/2024
    Alta Vista Country Club
    Placentia, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-25
  • S66 Uniform Combined State Law Examination
    2023-04-25
Other Names
  • Brett Steven Frazier
  • Brett S Frazier

View on SEC IAPD

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