Michael Frasier has been in the Financial Services Industry since 1998 and has served as a Trade Services Representative and Assistant Compliance Officer. Most recently, Michael has served as Compliance Officer for Cantella & Company, Inc., a national Broker-Dealer located in Boston, MA. At Cantella, Mike was a compliance problem solver for the myriad situations presented to the firm. Beyond addressing the unique quandaries he received on a daily basis, his responsibilities included internal audit / validation testing, branch examinations, firm element continuing education programs and maintaining and implementing written supervisory procedures in accordance with all FINRA, SEC and state regulatory guidelines including the new DOL requirements. He received a Bachelor of Science degree in Industrial Management in 1995 from the University of Lowell. Michael is a Certified Regulatory Compliance Professional (CRCP) and an Accredited Investment Fiduciary (AIF) and holds FINRA Series 4, 7, 24, 53, 63, 65 and 87 licenses.
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