Francis A. Fiolek
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 Alexander Fiolek was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1984. Francis had worked at 8 firms and has passed the Series 63, SIE, Series 55 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
January 13, 2016 - December 31, 2017
REGAL SECURITIES, INC.
August 1, 2012 - September 2, 2015
COWEN PRIME SERVICES LLC
May 27, 2011 - July 25, 2012
RODMAN & RENSHAW, LLC
February 23, 2010 - May 27, 2011
HUDSON SECURITIES,INC.
October 5, 2001 - January 6, 2010
CANTOR FITZGERALD & CO.
January 26, 1990 - September 26, 2001
DEUTSCHE IXE, LLC
May 24, 1988 - January 11, 1990
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 7, 1984 - May 24, 1988
TROSTER SINGER CORPORATION
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
Series 55
Date: 6/4/1999
Limited Representative-Equity Trader ExamCurrent Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
Red Flags
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