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AMERICAN FRONTEER FINANCIAL CORPORATION
AMERICAN FRONTEER FINANCIAL CORPORATION, RAFCO FINANCIAL CORPORATION, R A F FINANCIAL CORPORATION, PITTOCK FINANCIAL CORPORATION, E. J. PITTOCK & CO., INCORPORATED
CRD#: 1398/SEC#: 8-18200
PR
Previously Registered Brokerage Firm
Not currently registered as broker
Disclosures
39 Total Disclosures
20Regulatory Event19Arbitration
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Established inColorado since 09/18/1974
TypeCorporation
Fiscal Year End September
Direct Owners and Executive Officers
NamePosition
E-VISION USA.COM SHAREHOLDER
CHAN, TONGWAN (CRD#: 3011739) DIRECTOR AND MANAGING DIRECTOR OF CORPORATE FINANCE
COOK, GARY LYNN (CRD#:2735820) CHIEF FINANCIAL OFFICER, DIRECTOR
FISHBEIN, STEVEN MICHAEL (CRD#: 843134) DIRECTOR,VICE PRESIDENT & MANAGER TRADING DEPARTMENT
HERRING, SARA FITZSIMMONS (CRD#:1003754) DIRECTOR,VICE PRESIDENT OF COMPLIANCE
PADILLA, JOSE ANTONIO (CRD#:1925223) DIRECTOR AND CHIEF OPERATING OFFICER
SALISBURY, JOANN ROBYN (CRD#:1037278) SENIOR REGISTERED OPTIONS PRINCIPAL
TRAPP, ROBERT HERMAN (CRD#:2246323) DIRECTOR AND PRESIDENT
ZUCKER, BRIAN FRED DIRECTOR
E-VISION USA.COM
SHAREHOLDER

CHAN, TONGWAN (CRD#: 3011739)
DIRECTOR AND MANAGING DIRECTOR OF CORPORATE FINANCE

CHIEF FINANCIAL OFFICER, DIRECTOR

FISHBEIN, STEVEN MICHAEL (CRD#: 843134)
DIRECTOR,VICE PRESIDENT & MANAGER TRADING DEPARTMENT

DIRECTOR,VICE PRESIDENT OF COMPLIANCE

DIRECTOR AND CHIEF OPERATING OFFICER

SENIOR REGISTERED OPTIONS PRINCIPAL


ZUCKER, BRIAN FRED
DIRECTOR

Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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