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Francis D. Bub

CAPFINANCIAL SECURITIES.
Boston, MA 02109
Some features on this profile are disabled
CRD#: 2170143
FB

Professional summary

Francis Damian Bub III, who also goes by Francis Damian Bub III, Frank Damian Bub III, Frank Damian Bub, Frank Damian Iii Bub, Francis Damian Bub, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Boston, Massachusetts.

Francis is registered as a RR (Registered Representative) and started their career in finance in 1991. Francis has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 23 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francis Damian Bub Iii | Frank Damian Bub Iii | Frank Damian Bub | Frank Damian Iii Bub | Francis Damian Bub

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis Damian Bub III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 27, 2019 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: One Liberty Square 13th Floor, Boston, MA 02109
BD
CRD#: 126291
Boston, MA
Past

September 13, 2018 - February 13, 2019

PERSHING LLC

BD
CRD#: 7560
QUINCY, MA
Past

May 24, 2012 - February 13, 2019

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
QUINCY, MA
Past

December 16, 2008 - May 29, 2012

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
BOSTON, MA
Past

December 12, 2008 - May 29, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
BOSTON, MA
Past

October 3, 1994 - January 25, 2006

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 4, 1994 - September 29, 1994

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

June 24, 1992 - March 17, 1994

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

April 3, 1992 - April 21, 1992

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

November 6, 1991 - February 19, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(8/27/2019)
RR
North Carolina
(8/28/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/12/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/27/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 4/6/2017
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 8
Date: 10/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

CS
CAPFINANCIAL SECURITIES, LLC.
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC

CRD#: 126291 / SEC#: , 8-65870

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Phone number
(919) 870-6822
Established
North Carolina since 11/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

Disclosures

Regulatory Event1

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.

Company Information

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291Boston, MA 02109

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