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FC

Francis T. Corcoran

Some features on this profile are disabled
CRD#: 1338608
FC

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 Timothy Corcoran JR, who also goes by Francis Timothy Corcoran, was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1985. Francis had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francis Timothy Corcoran

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 9, 2017 - November 12, 2018

OKCOIN SECURITIES LLC

BD
CRD#: 136696
SAN FRANSISCO, CA
Past

November 18, 2011 - February 18, 2015

NSX SECURITIES LLC

BD
CRD#: 141378
JERSEY CITY, NJ
Past

March 5, 2009 - July 30, 2010

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

September 8, 2006 - June 12, 2007

SEAMOUNT EXECUTION SERVICES LLC

BD
CRD#: 139242
NEW YORK, NY
Past

June 28, 2004 - October 14, 2004

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

August 18, 2000 - July 17, 2002

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY
Past

August 1, 2000 - July 17, 2002

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

June 24, 1998 - August 1, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

April 9, 1996 - July 28, 1997

TICONDEROGA SECURITIES LLC

BD
CRD#: 7671
NEW YORK, NY
Past

January 12, 1987 - October 12, 1988

S.C. PARKER & CO., INC.

BD
CRD#: 734
Past

September 16, 1986 - February 18, 1987

KUREEN & COOPER, INC.

BD
CRD#: 2488
Past

May 16, 1985 - August 27, 1986

AMERICAN HERITAGE SECURITIES CORPORATION

BD
CRD#: 16130
Past

April 24, 1985 - May 15, 1985

MICHAEL C. TALLEY & CO., INC.

BD
CRD#: 8679

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/1996
General Securities Representative Examination

Current Firm

OS
OKCOIN SECURITIES LLC
DEEP ATS, LLC | SPOT QUOTE LLC | OKCOIN SECURITIES LLC

CRD#: 136696 / SEC#: , 8-67038

BD
Terminated by SEC on 07/13/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 10/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OKCOIN USA INC.OWNER
FANG, HONGCEO, PRINCIPAL AND DIRECTOR5580624
GOLDMAN, CLIFFORD HOWARDPRINCIPAL, FINOP, CCO224292
XU, MINGXINGDIRECTOR7152614

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.

Company Information

OKCOIN SECURITIES LLC

CRD#: 136696

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