Winston P. Francis
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.
Winston Phillip Francis was a registered financial professional .
Winston is a previously registered financial professional and started their career in finance in 1989. Winston had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 1995 - May 6, 2021
CAMDEN FINANCIAL SERVICES
October 24, 1994 - May 18, 1995
ROBERT SCOTT SECURITIES, INC.
April 24, 1992 - November 7, 1994
TITAN/VALUE EQUITIES GROUP, INC.
February 14, 1989 - April 15, 1992
AVANTAX INVESTMENT SERVICES, 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
CAMDEN FINANCIAL SERVICES
CRD#: 19925 / SEC#: , 8-37303
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UCCIFERRI, LOUIE | PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, AML-CO | 1156956 |
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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