Francis O. Trotter
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 Orchard Trotter III was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1986. Francis had worked at 3 firms and has passed the Series 63, Series 15, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 1999 - July 12, 2013
EVERTRADE DIRECT BROKERAGE, INC.
December 18, 1997 - January 2, 1998
MERCANTILE INVESTMENT SERVICES, INC.
May 20, 1986 - March 31, 1994
MARK TWAIN BROKERAGE SERVICES, 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
Series 15
Date: 7/18/1986
Foreign Currency Options ExaminationCurrent Firm
EVERTRADE DIRECT BROKERAGE, INC.
CRD#: 47388 / SEC#: , 8-51781
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
