Francis B. Mckenna
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 B. Mckenna, who also goes by Francis Boylan Mckenna, Francis Mckenna, Frank Mckenna, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1987. Francis had worked at 10 firms and has passed the Series 63, SIE, Series 52 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
June 12, 2023 - November 27, 2023
ROCKFLEET FINANCIAL SERVICES, INC
November 18, 2019 - February 9, 2023
AMERIVET SECURITIES, INC.
June 14, 2013 - October 28, 2019
ACADEMY SECURITIES, INC.
May 26, 2009 - July 8, 2010
NORTHEAST SECURITIES, LLC
June 12, 2007 - November 24, 2008
RAYMOND JAMES & ASSOCIATES, INC.
September 23, 2004 - May 3, 2007
BANC OF AMERICA SECURITIES LLC
April 11, 1997 - February 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 1997 - March 19, 1997
RAYMOND JAMES & ASSOCIATES, INC.
August 1, 1996 - January 15, 1997
CITICORP SECURITIES, INC.
August 27, 1992 - December 19, 1994
GLICKENHAUS & CO.
April 11, 1988 - July 27, 1992
ROOSEVELT & CROSS, INCORPORATED
June 22, 1987 - February 1, 1988
CITICORP SECURITIES, 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
ROCKFLEET FINANCIAL SERVICES, INC
CRD#: 149325 / SEC#: , 8-68139
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORRIGAN, CATHERINE MARY | PRESIDENT, CEO, CHIEF OPERATIONS OFFICER, FINOP, CCO | 1869713 |
| ROCKFLEET FINANCIAL SERVICES INC 401K PLAN | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS II L.P. | PROXY OWNER | |
| ROCKFLEET INVESTOR PARTNERS L.P. | PROXY OWNER |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 450,000 |
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.
