Francis T. Lancia

BROWNSTONE INVESTMENT GROUP

New York, NY 10017

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CRD#: 1711280

Professional summary

Francis T Lancia, who also goes by Frank Thomas Lancia, is a registered financial professional currently at BROWNSTONE INVESTMENT GROUP, LLC located in New York, New York.

Francis is registered as a RR (Registered Representative) and started their career in finance in 1989. Francis has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank Thomas Lancia

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) - BD

Click below to view Francis T Lancia's CRS (Customer Relationship Summary).

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

Current

March 13, 2017 - Present

BROWNSTONE INVESTMENT GROUP, LLC

Office #1: 505 Fifth Avenue 10th Floor, New York, NY 10017

CRD#: 43884

New York, NY

Past

June 26, 2007 - June 24, 2014

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 20, 2000 - October 31, 2006

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

NEW YORK, NY

Past

July 17, 1998 - December 7, 1998

ICAPITAL MARKETS LLC

CRD#: 5209

OMAHA, NE

Past

May 25, 1989 - December 14, 1990

CM&M FUTURES INC.

CRD#: 15845

NEW YORK, NY

Past

May 25, 1989 - June 19, 1998

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(5/25/2017)

Exams

State Security Law Exam

Series 63

Date: 5/24/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/1998

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BROWNSTONE INVESTMENT GROUP, LLC

BROWNSTONE INVESTMENT GROUP, LLC | THE WORLDVEST GROUP, LLC | FIFTY-FOUR CAPITAL PARTNERS

CRD#: 43884 / SEC#: , 8-50460

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

505 Fifth Avenue 10th Floor, New York, NY 10017

Mailing Address

505 Fifth Avenue 10th Floor, New York, NY 10017

Phone number

(212) 905-0550

Established

New York since 01/03/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BROWNSTONE INVESTMENT OPPORTUNITIES, LLC	SOLE MEMBER
BARTMESS, JOANNE CHRISTINE	FINANCIAL AND OPERATIONS PRINCIPAL (01/1998), CHIEF FINANCIAL OFFICER (10/2009), PFO & POO (10/18)	2922047
HUNTER, MICHELLE HALLA	CHIEF COMPLIANCE OFFICER	2689083
LOWEY, DOUGLAS BENNETT	MANAGER, PRESIDENT, CHIEF EXECUTIVE OFFICER	1932929
SABLOWSKY, JON SCOTT	CHIEF OPERATING OFFICER	1515334

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Francis T. Lancia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis T Lancia's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

FHN FINANCIAL SECURITIES CORP.

ICAPITAL MARKETS LLC

CM&M FUTURES INC.

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/2017

SIE

Date: 10/1/2018

Series 7

Date: 5/24/1995

Series 24

Date: 9/25/1998

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BROWNSTONE INVESTMENT GROUP, LLC

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BROWNSTONE INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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