Frances L. Cashman
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 Langton Cashman, who also goes by Frances Louise Cashman, Frances Louise Langton, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 1994. Frances had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2011 - January 17, 2020
CLEARBRIDGE INVESTMENTS, LLC
October 19, 2010 - September 6, 2011
1919 INVESTMENT COUNSEL, LLC
October 19, 2010 - January 17, 2020
FRANKLIN DISTRIBUTORS, LLC
December 14, 2005 - June 10, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 1, 2005 - June 10, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 3, 1997 - December 6, 2005
LEGG MASON WOOD WALKER, INCORPORATED
March 13, 1995 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 18, 1994 - March 15, 1995
BANC OF AMERICA SECURITIES LLC
January 23, 1994 - May 2, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
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
CLEARBRIDGE INVESTMENTS, LLC
CRD#: 137028 / SEC#: 801-64710
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122,375 |
| AUM (Assets Under Management) | $ 180,788,611,945 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 01/24/2025 | ||
| 11/20/2023 | ||
| 01/27/2023 |
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.
