Francois X. Poirier
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.
Francois Xavier Poirier, who also goes by Francois Xavier Poifier, Xavies Poirier, was a registered financial professional .
Francois is a previously registered financial professional and started their career in finance in 1986. Francois had worked at 10 firms and has passed the Series 63, Series 7, Series 62 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
November 14, 2003 - September 29, 2004
GUNNALLEN FINANCIAL, INC
September 24, 1998 - November 21, 2001
WEATHERLY SECURITIES CORPORATION
March 5, 1998 - September 21, 1998
OSCAR GRUSS & SON INCORPORATED
May 6, 1997 - December 12, 1997
CONTINENTAL BROKER-DEALER CORP.
September 28, 1994 - May 8, 1997
INVESTORS ASSOCIATES, INC.
March 17, 1994 - September 30, 1994
THE WELLINGTON GROUP, INC.
July 20, 1993 - March 28, 1994
JAMES W. BULLARD, JR., INCORPORATED
August 31, 1988 - July 6, 1990
THE STUART-JAMES COMPANY, INCORPORATED
January 14, 1988 - October 24, 1988
ALL-TECH DIRECT, INC.
December 16, 1987 - January 29, 1988
VANDERBILT SECURITIES, INC.
January 21, 1986 - July 6, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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 62
Date: 7/19/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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