Management

Director of ALARIC Compliance Services, LLC
Bob Frize currently has over 15 years of experience in the financial services industry of which he spent 10 years at Pershing. Mr. Frize served on a specialized institutional order desk for RIA's, small hedge funds, and large family accounts. In recent years, Mr. Frize utilized his trading experience and licenses to work as a Branch Control Manager for the Broker Dealer division of Pershing Advisor Solutions. His responsibilities included spearheading Best Execution, monitoring MSRB/TRACE, reviewing OATS, check suitability, and watching for mutual fund timing. He also participated in executive committees, and supervised various trade reports. Along with his trading responsibilities, he would approve accounts (KYC, CIP), approve and update option accounts, and monitor checks/wires/journals for possible money laundering. Mr. Frize graduated from Manhattan College with a BS in Business Administration and Finance. He is qualified for the following securities industry licenses: Series 4, 7, 24, 55, 63, 9 and 10.