Francisco Galvan
Professional summary
Francisco Galvan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Francisco is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Francisco had worked at 4 firms, which includes UNITED SECURITIES ALLIANCE INC., WMA SECURITIES INC., WOODBURY FINANCIAL SERVICES INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1996 - January 30, 2002
UNITED SECURITIES ALLIANCE, INC.
July 12, 1995 - March 22, 1996
WMA SECURITIES, INC.
April 22, 1992 - June 28, 1995
WOODBURY FINANCIAL SERVICES, INC.
August 9, 1983 - March 3, 1992
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
UNITED SECURITIES ALLIANCE, INC.
CRD#: 36487 / SEC#: , 8-47282
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| US ALLIANCE HOLDINGS, INC. | OWNER | |
| BLOOMINGKEMPER, RONALD KEITH | CHAIRMAN OF BOARD | 1087036 |
| CANNELLA, JEFFREY JAMES | PRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP | 2236889 |
| DAVIS, DANA LORAINE | INSURANCE PRINCIPAL, IA/CCO | 1715382 |
| JONES, MICHAEL WASHINGTON | EXECUTIVE VICE PRESIDENT / DIRECTOR | 3248874 |
| PETRINOVICH, RONALD JAMES | DIRECTOR | 1099207 |
| SUTHERLAND, PATRICK EMANUEL | DIRECTOR/FINOP | 3042322 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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