FR
Francis J. Roughan
NATIXIS SECURITIES AMERICAS LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2184326
FR
Professional summary
Francis John Roughan, who also goes by Frank J Roughan, is a registered financial professional currently at NATIXIS SECURITIES AMERICAS LLC located in New York, New York.
Francis is registered as a RR (Registered Representative) and started their career in finance in 1991. Francis has worked at 13 firms and has passed the Series 63, Series 72, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frank J Roughan
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.
CRS (Client Relationship Summary) - BD
Click below to view Francis John Roughan's 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®
NoneExperience
Current
October 5, 2021 - Present
NATIXIS SECURITIES AMERICAS LLC
Office #1: 1251 Avenue Of The Americas, New York, NY 10020BD
CRD#: 1101
NEW YORK, NY
Past
April 9, 2021 - September 23, 2021
ICAP SECURITIES USA LLC
BD
CRD#: 19739
NEW YORK, NY
Past
November 14, 2016 - August 27, 2020
CROTON LIQUID MARKETS LLC
BD
CRD#: 283873
NEW YORK, NY
Past
November 1, 2010 - August 27, 2020
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
April 27, 2007 - November 2, 2010
GUGGENHEIM LIQUIDITY SERVICES, LLC
BD
CRD#: 141697
NEW YORK, NY
Past
April 28, 2004 - January 5, 2006
COMMERZBANK CAPITAL MARKETS CORP.
BD
CRD#: 21787
NEW YORK, NY
Past
July 10, 2001 - May 5, 2004
SURETY FINANCIAL SERVICES INC.
BD
CRD#: 18344
WANTAGH, NY
Past
June 7, 1999 - July 27, 1999
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
March 4, 1998 - June 7, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
May 19, 1994 - December 19, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 2, 1991 - May 9, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
October 2, 1991 - May 9, 1994
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
October 2, 1991 - May 9, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(10/5/2021)
RR
Alaska(10/5/2021)
RR
Arizona(10/5/2021)
RR
Arkansas(10/5/2021)
RR
California(10/5/2021)
RR
Colorado(10/5/2021)
RR
Connecticut(10/5/2021)
RR
Delaware(10/5/2021)
RR
District of Columbia(10/5/2021)
RR
Florida(10/5/2021)
RR
Georgia(10/5/2021)
RR
Hawaii(10/5/2021)
RR
Idaho(10/5/2021)
RR
Illinois(10/5/2021)
RR
Indiana(10/5/2021)
RR
Iowa(10/5/2021)
RR
Kansas(10/5/2021)
RR
Kentucky(10/5/2021)
RR
Louisiana(10/5/2021)
RR
Maine(10/5/2021)
RR
Maryland(10/5/2021)
RR
Massachusetts(10/5/2021)
RR
Michigan(10/5/2021)
RR
Minnesota(10/5/2021)
RR
Mississippi(10/5/2021)
RR
Missouri(10/5/2021)
RR
Montana(10/5/2021)
RR
Nebraska(10/5/2021)
RR
Nevada(10/5/2021)
RR
New Hampshire(10/5/2021)
RR
New Jersey(10/5/2021)
RR
New Mexico(10/5/2021)
RR
New York(10/5/2021)
RR
North Carolina(10/5/2021)
RR
North Dakota(10/5/2021)
RR
Ohio(10/6/2021)
RR
Oklahoma(10/5/2021)
RR
Oregon(10/5/2021)
RR
Pennsylvania(10/5/2021)
RR
Rhode Island(10/5/2021)
RR
South Carolina(10/5/2021)
RR
South Dakota(10/5/2021)
RR
Tennessee(10/5/2021)
RR
Texas(10/5/2021)
RR
Utah(10/5/2021)
RR
Vermont(10/5/2021)
RR
Virginia(10/5/2021)
RR
Washington(10/5/2021)
RR
West Virginia(10/5/2021)
RR
Wisconsin(10/5/2021)
RR
Wyoming(10/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NS
NATIXIS SECURITIES AMERICAS LLC
ARNHOLD AND S. BLEICHROEDER, INC | NATIXIS SECURITIES AMERICAS LLC | NATIXIS BLEICHROEDER LLC | NATIXIS BLEICHROEDER INC. | NATEXIS BLEICHROEDER INC. | ARNHOLD AND S. BLEICHROEDER, INC.
CRD#: 1101 / SEC#: 801-72849, 8-719
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas 5th Floor, New York, NY, 10020
Mailing Address
1251 Avenue Of The Americas 5th Floor, New York, NY 10020
Phone number
(212) 872-5000
Established
Delaware since 11/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
