Francisco J. Vigil
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Francisco Javier Vigil, who also goes by Frank Javier VIgil, Frank Vigil, was a registered financial professional .
Francisco is a previously registered financial professional and started their career in finance in 1981. Francisco had worked at 6 firms and has passed the Series 65, Series 63, Series 72, Series 7TO, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2013 - April 8, 2022
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - April 8, 2022
RAYMOND JAMES & ASSOCIATES, INC.
December 16, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
December 15, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 20, 2001 - December 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 30, 1998 - April 1, 1998
BARNETT INVESTMENTS, INC.
January 1, 1998 - December 21, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
June 13, 1986 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 22, 1981 - March 14, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
