Herve D. Francois
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.
Herve Daniel Francois was a registered financial professional .
Herve is a previously registered financial professional and started their career in finance in 1995. Herve had worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2013 - January 24, 2017
B. RILEY & CO., LLC
October 22, 2010 - April 16, 2013
MIZUHO SECURITIES USA LLC
July 1, 2003 - October 25, 2010
MERRIMAN CAPITAL, INC.
July 27, 1998 - May 16, 2003
CREDIT SUISSE SECURITIES (USA) LLC
May 6, 1998 - July 13, 1998
DEUTSCHE BANK SECURITIES INC.
November 29, 1997 - May 5, 1998
SALOMON BROTHERS INC.
November 14, 1995 - May 5, 1998
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
B. RILEY & CO., LLC
CRD#: 40355 / SEC#: , 8-49016
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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