Francis X. Nelson
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 Nelson JR, who also goes by Francis Xavier Nelson, Frank X Nelson, Frank Xavier Nelson, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1986. Francis had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10, Series 9 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
September 2, 2016 - May 5, 2017
RAINMAKER SECURITIES, LLC
September 27, 1999 - January 9, 2015
DEUTSCHE BANK SECURITIES INC.
March 27, 1996 - December 20, 1999
J.P. MORGAN SECURITIES INC.
September 4, 1990 - March 11, 1996
LEHMAN BROTHERS INC.
May 21, 1986 - April 24, 1989
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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