Francis W. Gillet
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 Warrington Gillet III, who also goes by Warrington Gillett, Francis Warrington Gillette, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1989. Francis had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1995 - February 8, 1996
BAIRD, PATRICK & CO., INC.
January 26, 1994 - May 23, 1995
GRUNTAL & CO., L.L.C.
September 21, 1993 - January 31, 1994
BLUESTONE CAPITAL CORP.
December 24, 1991 - July 29, 1992
LADENBURG THALMANN & CO. INC.
May 22, 1990 - February 14, 1991
GLOBAL AMERICA INCORPORATED
November 28, 1989 - January 11, 1990
M.Y. SAFRA SECURITIES, 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
BAIRD, PATRICK & CO., INC.
CRD#: 1149 / SEC#: , 8-18029
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
