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JF

Joseph M. Francis

Some features on this profile are disabled
CRD#: 2581897
JF

Professional summary

Joseph Marshall Francis JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Joseph had worked at 3 firms, which includes WALLSTREET*E FINANCIAL SERVICES INC., DELTA ASSET MANAGEMENT COMPANY LLC, PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 15, 2006 - February 14, 2007

WALLSTREET*E FINANCIAL SERVICES, INC.

BD
CRD#: 43896
CHATTANOOGA, TN
Past

April 30, 2004 - October 21, 2004

WALLSTREET*E FINANCIAL SERVICES, INC.

BD
CRD#: 43896
CORAL GABLES, FL
Past

July 1, 2002 - July 9, 2002

DELTA ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 39923
MINEOLA, NY
Past

July 1, 2002 - September 22, 2003

WALLSTREET*E FINANCIAL SERVICES, INC.

BD
CRD#: 43896
CORAL GABLES, FL
Past

March 7, 1995 - January 30, 2002

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/17/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/4/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/6/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/6/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

WF
WALLSTREET*E FINANCIAL SERVICES, INC.
WALLSTREET ELECTRONICA, INC. | WALLSTREETE FINANCIAL SERVICES | WALLSTREET*E FINANCIAL SERVICES, INC. | WALLSTREET*E

CRD#: 43896 / SEC#: , 8-50464

BD
Terminated by SEC on 02/20/2011
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 08/15/1997
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OTALVARO, CARLOS FRANCISCOPRINCIPAL, FINOP, CCO, SROP/CROP2294420
OTALVARO, CARLOS NOECIO2942434

Disclosures

Regulatory Event8
Arbitration1

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.

Company Information

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

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