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Francis X. Egan

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CRD#: 1025151
FE

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.

Francis Xavier Egan, who also goes by Frank Egan, was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1982. Francis had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank Egan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 26, 2020 - August 26, 2020

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

July 14, 2016 - May 30, 2018

FDX CAPITAL LLC

BD
CRD#: 119302
NEW YORK, NY
Past

June 14, 2013 - May 2, 2014

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

March 16, 2005 - June 28, 2011

NORTHWATER CAPITAL MARKETS, LLC

BD
CRD#: 120965
CHICAGO, IL
Past

October 26, 2001 - September 14, 2004

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
NEW YORK, NY
Past

November 23, 2000 - October 16, 2001

MARKET WISE SECURITIES, LLC

BD
CRD#: 45269
CHICAGO, IL
Past

December 10, 1999 - March 8, 2001

BEMOS INVESTMENT ADVISORS, L.L.C.

BD
CRD#: 46792
DEERFIELD, IL
Past

August 31, 1998 - October 29, 1999

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

March 2, 1998 - August 19, 1998

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

December 22, 1994 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

September 25, 1990 - December 19, 1994

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 13, 1984 - October 2, 1990

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 28, 1982 - August 2, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/6/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/30/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1981
General Securities Representative Examination

Current Firm

FC
FDX CAPITAL LLC
DOUGLAS FINANCIAL LLC | FDX CAPITAL LLC

CRD#: 119302 / SEC#: , 8-65170

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
515 Madison Avenue 24th Floor, New York, NY, 10022
Mailing Address
515 Madison Avenue 24th Floor, New York, NY, 10022
Phone number
(888) 814-8180
Established
New Jersey since 10/10/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JAMES ALPHA HOLDINGS, LLCMANAGING MEMBER
GREENE, KEVIN ROBERTCEO1295699
MONTAGUE, MICHAELOPERATIONS OFFICER5121305
PREVEZA, DOUGLAS JOHNCHIEF COMPLIANCE OFFICER2692333
SMITH, ELIZABETH ANNEFINOP/PRINCIPAL FINANCIAL OFFICER1960549

Disclosures

Regulatory Event2

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.

Company Information

FDX CAPITAL LLC

CRD#: 119302

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