Thomas P. Francis

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CRD#: 1847184

Professional summary

Thomas Paul Francis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Thomas had worked at 11 firms, which includes CONTINENTAL BROKER-DEALER CORP., LCP CAPITAL CORP., H.J. MEYERS & CO. INC., NETWORK 1 FINANCIAL SECURITIES INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., FINANCIAL EQUITIES RESOURCES INC., FIRST FIDELITY CAPITAL CORP., ALLEGIANCE SECURITIES INC., MONMOUTH INVESTMENTS INC., HIBBARD BROWN & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 16, 1996 - July 25, 2003

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

December 6, 1995 - October 24, 1996

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

February 18, 1994 - December 21, 1995

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

November 3, 1992 - April 8, 1994

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

RED BANK, NJ

Past

February 4, 1991 - December 1, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 4, 1991 - December 1, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

July 10, 1990 - November 12, 1990

FINANCIAL EQUITIES RESOURCES, INC.

CRD#: 13810

Past

April 17, 1989 - October 19, 1990

FIRST FIDELITY CAPITAL CORP.

CRD#: 17967

Past

April 5, 1989 - April 27, 1989

ALLEGIANCE SECURITIES, INC.

CRD#: 16213

Past

January 23, 1989 - September 13, 1991

MONMOUTH INVESTMENTS, INC.

CRD#: 14047

Past

October 19, 1988 - January 19, 1989

HIBBARD BROWN & CO., INC.

CRD#: 18246

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/14/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/18/1994

General Securities Principal Examination

Current Firm

CONTINENTAL BROKER-DEALER CORP.

ACTIVE TRADING NETWORK | OPTION TRADING NETWORK | GLOBAL FINANCIAL NETWORK | CONTINENTAL BROKER-DEALER CORP. | CONTINENTAL BROKER DEALER CORP.

CRD#: 14048 / SEC#: , 8-43159

Terminated by SEC on 04/09/2004

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 10/26/1982

Firm type

Corporation

Fiscal year end

October

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GREGORY M HASHO VOTING TRUST	GREGORY M HASHO VOTING TRUST
CHANDY, LIZY ELIZABETH	ASSISTANT DIRECTOR OF COMPLIANCE / CROP / SROP
HASHO, GREGORY MUMTAZ	SOLE BENEFICIARY OF THE GREGORY M. HASHO VOTING TRUST DATED 11/21/1995

Disclosures

Regulatory Event	12
Arbitration	15

Red Flags

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Thomas P. Francis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LCP CAPITAL CORP.

H.J. MEYERS & CO., INC.

NETWORK 1 FINANCIAL SECURITIES INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

FINANCIAL EQUITIES RESOURCES, INC.

FIRST FIDELITY CAPITAL CORP.

ALLEGIANCE SECURITIES, INC.

MONMOUTH INVESTMENTS, INC.

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/14/1988

Series 7

Date: 10/15/1988

Series 24

Date: 10/18/1994

Current Firm

CONTINENTAL BROKER-DEALER CORP.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CONTINENTAL BROKER-DEALER CORP.

TRUST BUT VERIFY

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