Francis D. Franco
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 Daniel Franco was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1985. Francis had worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2001 - September 10, 2001
BACK BAY CAPITAL, INC.
November 1, 1999 - May 11, 2001
ACCELERATED CAPITAL GROUP
February 1, 1985 - December 31, 1991
PFS INVESTMENTS 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
BACK BAY CAPITAL, INC.
CRD#: 22824 / SEC#: , 8-39991
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ACCESS PARTNERS, LLC | OWNER | |
| CARAZOLEZ, ALBERT TOMMIE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2204105 |
| GOROS, WILLIAM FREDERICK | VICE PRESIDENT |
Disclosures
| Regulatory Event | 4 |
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.
