Bruce J. 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.
Bruce James Francis was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1969. Bruce had worked at 4 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2009 - December 2, 2016
FOOTHILL SECURITIES, INC.
June 19, 2009 - December 2, 2016
FOOTHILL SECURITIES, INC.
July 8, 1997 - June 22, 2009
NEW ENGLAND SECURITIES
May 6, 1975 - June 22, 2009
NEW ENGLAND SECURITIES
October 26, 1972 - November 12, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
January 1, 1969 - September 28, 1972
REYNOLDS 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
Series 1
Date: 12/12/1968
Registered Representative ExaminationCurrent Firm
FOOTHILL SECURITIES, INC.
CRD#: 1027 / SEC#: 801-57293, 8-11117
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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