Connie 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.
Connie Jane Francis was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1973. Connie had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, 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
April 5, 2016 - December 13, 2021
ALAMO CAPITAL
December 20, 2010 - July 22, 2014
ALAMO CAPITAL
February 25, 2010 - August 2, 2010
PURSHE KAPLAN STERLING INVESTMENTS
November 24, 2008 - February 2, 2010
SECURITIES AMERICA, INC.
October 17, 2005 - August 15, 2008
GBS FINANCIAL CORP.
June 13, 2005 - October 19, 2005
FIRST ALLIED SECURITIES, INC.
January 11, 2000 - June 13, 2005
ROUND HILL SECURITIES, INC.
December 17, 1998 - January 13, 2000
CIBC WORLD MARKETS CORP.
June 20, 1994 - December 22, 1998
J.P. MORGAN SECURITIES LLC
March 19, 1991 - June 24, 1992
WELLS FARGO SECURITIES, LLC
April 3, 1984 - May 13, 1989
SCHRODER & CO. INC.
January 12, 1983 - March 7, 1984
PACIFIC SECURITIES, INC.
August 12, 1982 - April 6, 1984
SMITH BELLINGHAM INTERNATIONAL, INC.
January 20, 1982 - August 26, 1982
ROEDEINGER INCORPORATED
July 12, 1978 - July 6, 1982
MONTGOMERY SECURITIES
July 2, 1973 - July 12, 1978
J.P. MORGAN SECURITIES LLC
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 6/27/1973
Registered Representative ExaminationCurrent Firm
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
