Frances S. Fluharty
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.
Frances Shawn Fluharty, who also goes by Frances Shawn Burnett, Shawn Frances Burnett, Francis Shawn Douglas, Frances S Fluharty, Frances S. Fluharty, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 1986. Frances had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - June 30, 2015
BNY MELLON CAPITAL MARKETS, LLC
July 9, 2008 - June 30, 2015
PERSHING LLC
August 3, 2007 - July 7, 2008
MORGAN KEEGAN & COMPANY, LLC
July 31, 2007 - July 7, 2008
MORGAN KEEGAN & COMPANY, LLC
March 17, 2006 - November 14, 2006
UBS FINANCIAL SERVICES INC.
January 16, 2006 - March 21, 2006
UBS SECURITIES LLC
October 21, 1996 - January 26, 2006
UBS FINANCIAL SERVICES INC.
October 10, 1996 - January 16, 2006
UBS FINANCIAL SERVICES INC.
March 31, 1988 - August 22, 1994
WACHOVIA SECURITIES, INC.
February 25, 1987 - December 19, 1987
THE STUART-JAMES COMPANY, INCORPORATED
October 23, 1986 - January 27, 1987
NORRIS & HIRSHBERG, INC.
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
Current Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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.
