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Troy Winston Frazier

Charles Schwab & CO., Inc.

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About Troy Winston Frazier

Troy Winston Frazier is a financial advisor currently registered with Charles Schwab & CO., Inc.. Troy has been in the financial industry since 1999. Previously, Troy was also registered with TD AMERITRADE, INC., BEHRINGER SECURITIES LP, SWS SECURITIES INC., and BROKERS TRANSACTION SERVICES, INC.. Troy is registered in 53 states and has a Series 63, Series 66, Series 7, Series 24, Series 55, Series 57TO, and SIE licenses.

Firm Information

Troy Frazier is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Troy Frazier’s Registration & Firm History

TX

01/26/2022 - Present

Charles Schwab & CO., Inc. (Westlake TX)

TX

04/26/2006 - 05/19/2024

TD AMERITRADE, INC. (Westlake TX)

TX

07/08/2004 - 03/22/2006

BEHRINGER SECURITIES LP (DALLAS TX)

TX

06/20/1997 - 11/13/2002

SWS SECURITIES INC. (DALLAS TX)

TX

04/21/1997 - 06/20/1997

BROKERS TRANSACTION SERVICES, INC. (DALLAS TX)

TX

04/08/1997 - 04/21/1997

SOUTHWEST SECURITIES, INC. (DALLAS TX)

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Licenses & Designations

BOTH

Issued 07/05/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/06/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/07/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/18/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/07/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Troy Winston Frazier. Review regulatory record here.
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