Francis X. Weber
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 Xavier Weber JR, who also goes by Francis Weber, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1993. Francis had worked at 4 firms and has passed the Series 63 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
May 31, 2002 - October 24, 2003
GILFORD SECURITIES INCORPORATED
September 15, 1999 - June 6, 2002
CITIGROUP GLOBAL MARKETS INC.
November 22, 1994 - September 14, 1999
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - September 20, 1994
CITIGROUP GLOBAL MARKETS INC.
July 13, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
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
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
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.
