Francis C. Bagby
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.
Francis Charles Bagby, who also goes by Francis Bagby, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1995. Francis had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2015 - December 31, 2015
BAGBY ASSET MANAGEMENT, INC
December 9, 2011 - November 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2011 - November 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2010 - October 14, 2011
MORGAN STANLEY
March 4, 2010 - October 14, 2011
MORGAN STANLEY
February 14, 1998 - November 30, 1998
SUNAMERICA SECURITIES, INC.
January 17, 1996 - March 12, 1998
NEXT ADVISORS INC.
May 25, 1995 - January 3, 1996
IDS LIFE INSURANCE COMPANY
May 25, 1995 - January 3, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 1995 - June 27, 1995
UBS FINANCIAL SERVICES INC.
February 8, 1995 - February 24, 1995
IDS LIFE INSURANCE COMPANY
February 8, 1995 - February 24, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BAGBY ASSET MANAGEMENT, INC
CRD#: 173882 / SEC#:
Contact information
Red Flags
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