Frances M. Desimone
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.
Frances Mulherin Desimone was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 1991. Frances had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2009 - December 31, 2024
HAZARD & SIEGEL, INC.
June 6, 2003 - May 6, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 10, 1992 - June 7, 2003
NATHAN & LEWIS SECURITIES, INC.
August 5, 1991 - September 6, 1991
CPC SECURITIES CORPORATION
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
HAZARD & SIEGEL, INC.
CRD#: 2048 / SEC#: , 8-13942
Contact information
FINRA licenses (43 States and Territories)
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.
