Frances J. Metheny
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 James Metheny, who also goes by Frances James Hanney, Frances Dillard James, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 1983. Frances had worked at 7 firms and has passed the Series 63, Series 7, Series 53, Series 4 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
October 29, 2007 - January 4, 2013
NATIONAL FINANCIAL SERVICES LLC
May 11, 2007 - August 7, 2007
FIRST HORIZON ADVISORS, INC.
March 12, 2004 - May 10, 2007
FIRST HORIZON ADVISORS, INC.
June 24, 1992 - August 7, 2007
FIRST HORIZON ADVISORS, INC.
August 18, 1989 - June 26, 1991
WILLIAMS SECURITIES GROUP, INC.
January 23, 1989 - September 6, 1989
TRUIST INVESTMENT SERVICES, INC.
March 18, 1988 - February 2, 1989
CITIGROUP GLOBAL MARKETS INC.
June 30, 1986 - November 2, 1987
FIRST FUNDS, INC.
November 22, 1983 - March 13, 1984
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
