Francis X. Monaghan
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 Xavier Monaghan, who also goes by Francis X Monaghan, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1986. Francis had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2013 - December 9, 2016
ALPS DISTRIBUTORS, INC.
April 14, 2006 - December 31, 2008
DYNAMIX TRADING
March 6, 2003 - June 2, 2003
TJM INVESTMENTS, LLC
July 1, 2000 - March 23, 2001
SANDERS MORRIS LLC
April 12, 2000 - July 1, 2000
BLACKFORD SECURITIES CORP.
January 12, 1998 - January 10, 2000
BRANDYWINE SECURITIES, INC.
July 24, 1987 - January 17, 1996
RXR SECURITIES INC.
January 21, 1986 - October 3, 1986
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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