Francis C. Reed
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 Charles Reed Jr, who also goes by Reed C Francis, Francis Charles Reed Jr, Francis Charles Reed, Francis Reed, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1989. Francis had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 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
November 22, 2019 - June 24, 2024
WELLS FARGO SECURITIES, LLC
August 12, 2009 - November 29, 2013
UBS SECURITIES LLC
September 22, 2008 - May 26, 2009
BARCLAYS CAPITAL INC.
December 8, 2003 - September 22, 2008
LEHMAN BROTHERS INC.
December 19, 2000 - November 17, 2003
COMMERZBANK CAPITAL MARKETS CORP.
April 17, 1997 - December 19, 2000
BARCLAYS CAPITAL INC.
May 13, 1993 - April 8, 1997
TUCKER ANTHONY INCORPORATED
April 16, 1990 - April 30, 1993
MORGAN STANLEY DW INC.
May 22, 1989 - April 27, 1990
TGB CORPORATION
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
Series 79TO
Date: 11/22/2019
Investment Banking Registered Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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