Francois A. Fischer
Professional summary
Francois Alexandre Fischer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Francois is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Francois had worked at 14 firms, which includes CAPITAL ONE INVESTMENT SERVICES LLC, CHASE INVESTMENT SERVICES CORP., INVEST FINANCIAL CORPORATION, EURO-ATLANTIC SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., HFC CAPITAL CORP., INVESTORS ASSOCIATES INC., CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED, FIRST AMERICA EQUITIES CORP., FIRST INDEPENDENCE GROUP INC., J. T. MORAN & CO. INC., SHERWOOD CAPITAL INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2001 - March 4, 2002
CAPITAL ONE INVESTMENT SERVICES LLC
August 20, 1998 - October 19, 2001
CHASE INVESTMENT SERVICES CORP.
March 13, 1997 - September 4, 1998
INVEST FINANCIAL CORPORATION
August 27, 1996 - July 11, 1997
EURO-ATLANTIC SECURITIES INC.
March 8, 1994 - July 11, 1996
METROPOLITAN LIFE INSURANCE COMPANY
March 8, 1994 - July 11, 1996
MSI FINANCIAL SERVICES, INC.
December 12, 1992 - April 20, 1993
HFC CAPITAL CORP.
March 13, 1992 - September 24, 1992
INVESTORS ASSOCIATES, INC.
February 12, 1991 - March 15, 1991
CHATFIELD DEAN & CO., INC.
September 17, 1990 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
April 25, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
February 5, 1990 - December 22, 1993
FIRST INDEPENDENCE GROUP INC.
May 20, 1988 - February 15, 1990
J. T. MORAN & CO., INC.
August 21, 1987 - May 21, 1988
SHERWOOD CAPITAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE INVESTMENT SERVICES LLC
CRD#: 25658 / SEC#: , 8-41948
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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