Francis C. Handwork
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 C Handwork, who also goes by Francis Collins Handwork, Frank Collins Handwork, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1991. Francis had worked at 5 firms and has passed the Series 66, Series 63, SIE 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 4, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 1, 2009 - March 20, 2015
MORGAN STANLEY
June 1, 2009 - March 20, 2015
MORGAN STANLEY
July 11, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 11, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 8, 2004 - July 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 19, 2004 - July 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2002 - March 1, 2004
WADDELL & REED
March 27, 2002 - March 1, 2004
WADDELL & REED
July 25, 1991 - May 30, 1996
T. ROWE PRICE 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
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
