Francis Hartley-edwards
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 Hartley-edwards, who also goes by Francis Hartley Edwards, Frank Edwards, Francis Hartleyedwards, Frank Hartleyedwards, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1993. Francis had worked at 9 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
March 2, 2006 - October 5, 2006
STERNE, AGEE & LEACH, INC.
February 3, 2005 - February 10, 2006
CANTOR FITZGERALD & CO.
November 26, 2003 - February 10, 2005
RAYMOND JAMES & ASSOCIATES, INC.
November 6, 2003 - December 2, 2003
LEGG MASON WOOD WALKER, INCORPORATED
September 28, 2001 - November 13, 2003
RAYMOND JAMES & ASSOCIATES, INC.
January 10, 2000 - October 10, 2001
PIPER SANDLER & CO.
June 28, 1995 - January 20, 2000
SUTRO & CO. INCORPORATED
April 20, 1995 - June 23, 1995
CIBC WORLD MARKETS CORP.
January 13, 1995 - March 24, 1995
TEXAS CAPITAL SECURITIES, INC.
April 14, 1993 - December 21, 1994
LIBERTY CAPITAL MARKETS, 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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
