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Shawna Denise Frazier

Fidelity Brokerage Services LLC

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About Shawna Denise Frazier

Shawna Denise Frazier is a financial advisor with over 20 years of experience in the industry. Shawna currently holds a Series 63, Series 10, and Series 9 license. Shawna has been registered with Fidelity Brokerage Services LLC since 2021. Previously, Shawna has been registered with Brown Advisory Securities, LLC, Ultimus Fund Distributors, LLC, Oppenheimer & Co. Inc., CIBC World Markets Corp, Goldman, Sachs & Co, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Shawna is licensed in Maryland, Massachusetts, Texas, and Utah.

Firm Information

Shawna Frazier is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Shawna Frazier’s Registration & Firm History

RI

06/28/2021 - Present

Fidelity Brokerage Services LLC (SMITHFIELD RI)

MD

10/01/2018 - 05/06/2019

BROWN ADVISORY SECURITIES, LLC (BALTIMORE MD)

OH

03/03/2011 - 01/03/2017

ULTIMUS FUND DISTRIBUTORS, LLC (CINCINNATI OH)

NY

01/14/2008 - 01/28/2011

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

05/15/2003 - 01/14/2008

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

07/30/2001 - 04/17/2003

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

10/17/1994 - 08/27/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/28/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/16/2021

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/18/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/03/2017

SIE - Securities Industry Essentials Examination

BC

Issued 11/05/2001

Series 3 - National Commodity Futures Examination

BC

Issued 10/15/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Shawna Denise Frazier.
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