Gary A. Francis
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.
Gary Anderson Francis was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 20 firms and has passed the Series 65, Series 63, Series 7 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
May 9, 2012 - May 16, 2013
NEW ENGLAND SECURITIES
October 15, 2010 - May 2, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 7, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
April 7, 2010 - October 19, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 21, 2010 - March 15, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 20, 2006 - May 2, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 3, 2005 - October 16, 2006
INVESTMENT PROFESSIONALS, INC.
October 2, 2003 - November 1, 2005
AMERITAS INVESTMENT COMPANY, LLC
February 25, 2003 - July 15, 2003
SIGNATOR INVESTORS, INC.
April 11, 2002 - February 14, 2003
PARK AVENUE SECURITIES LLC
May 29, 2001 - April 3, 2002
HORNOR, TOWNSEND & KENT, LLC
September 2, 1999 - May 7, 2001
METROPOLITAN LIFE INSURANCE COMPANY
September 2, 1999 - May 7, 2001
MSI FINANCIAL SERVICES, INC.
January 9, 1995 - July 21, 1999
MONY SECURITIES CORPORATION
August 10, 1994 - December 31, 1994
THE LLOYD FINANCIAL GROUP
December 4, 1992 - May 24, 1994
BA INVESTMENT SERVICES, INC.
September 17, 1992 - February 23, 1993
FUNDS DISTRIBUTOR, LLC
May 6, 1991 - January 16, 1992
KEYPORT FINANCIAL SERVICES CORP.
May 24, 1988 - October 23, 1989
ROYAL HUTTON SECURITIES CORP.
July 1, 1987 - April 12, 1988
CNL, INC.
April 26, 1984 - May 16, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1982 - March 5, 1984
RAUSCHER PIERCE REFSNES, 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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
