James 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.
James Francois was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 11 firms and has passed the Series 66, 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
December 17, 2020 - December 11, 2024
EDELMAN FINANCIAL ENGINES
February 27, 2018 - May 1, 2019
TD AMERITRADE, INC.
February 26, 2018 - May 1, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - May 1, 2019
TD AMERITRADE, INC.
May 2, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
April 12, 2006 - February 26, 2018
SCOTTRADE, INC.
July 15, 2004 - December 6, 2005
E*TRADE SECURITIES LLC
June 7, 2001 - July 16, 2004
COUNTRYWIDE INVESTMENT SERVICES, INC.
October 6, 1999 - June 1, 2001
WAMU INVESTMENTS, INC.
January 1, 1999 - September 17, 1999
WAMU INVESTMENTS, INC.
March 7, 1997 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
December 2, 1994 - December 23, 1994
ROBERT TODD FINANCIAL CORP.
December 2, 1994 - April 20, 1995
COLUMBUS FINANCIAL, INC.
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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