Francis A. Feist
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 Andrew Feist was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1974. Francis had worked at 16 firms and has passed the Series 66, Series 63, Series 5, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2016 - April 21, 2021
FEIST ASSET MANAGEMENT
March 24, 2004 - May 28, 2008
SUMMIT BROKERAGE SERVICES, INC.
April 12, 2002 - March 3, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 31, 2000 - April 11, 2002
VSR FINANCIAL SERVICES, INC.
October 8, 1999 - September 14, 2000
FINTEGRA, LLC
August 11, 1997 - October 20, 1999
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 17, 1997 - July 8, 1997
AMERICAN INVESTMENT SERVICES, INC.
June 11, 1996 - May 17, 1997
VARIABLE ASSET STRATEGIES, INC.
September 13, 1995 - May 7, 1996
AMERICAN INVESTORS GROUP, INC.
October 28, 1994 - September 20, 1995
TUSCHNER & COMPANY, INC.
April 3, 1991 - September 26, 1994
UBS FINANCIAL SERVICES INC.
October 31, 1988 - March 27, 1991
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 1, 1988 - November 2, 1988
OBERWEIS SECURITIES, INC.
May 12, 1987 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
September 26, 1978 - March 16, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationSeries 1
Date: 6/12/1974
Registered Representative ExaminationCurrent Firm
FEIST ASSET MANAGEMENT
CRD#: 154847 / SEC#:
Contact information
Red Flags
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