Francie B. Rachal
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.
Francie Bea Rachal, who also goes by Francie B Rachal, was a registered financial professional .
Francie is a previously registered financial professional and started their career in finance in 1993. Francie had worked at 14 firms and has passed the Series 63, 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
February 24, 2005 - January 20, 2006
GLB TRADING, INC
October 9, 2004 - February 1, 2005
THE STREET, INC.
October 5, 2004 - October 10, 2013
PH PARTNERS, LLC
March 12, 2002 - December 31, 2002
ECKARD INVESTMENT SERVICES, INC.
February 8, 1999 - April 12, 2000
TRADECAST SECURITIES, LTD.
August 6, 1998 - January 28, 1999
TRADESTAR INVESTMENTS,INC.
June 1, 1998 - August 19, 1998
IDS LIFE INSURANCE COMPANY
June 1, 1998 - August 19, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
October 31, 1997 - April 1, 1998
PORTFOLIO MANAGEMENT, INC.
January 30, 1997 - August 14, 1997
RIVER OAKS TRADING, L.P.
January 17, 1996 - January 10, 1997
LIGHTSPEED PROFESSIONAL TRADING LLC
March 9, 1995 - November 29, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 9, 1994 - June 21, 1994
CIBC WORLD MARKETS CORP.
October 5, 1993 - February 24, 1994
UBS FINANCIAL 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
GLB TRADING, INC
CRD#: 125363 / SEC#: , 8-65790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECHMAN, ROBERT TRUST 08/14/06 | OWNER | |
| LECHMAN, ROBERT ALLEN | PRESIDENT, CEO, FINOP, CFO & CCO | 1045237 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
