Francis R. Larosa
Professional summary
Francis Ross Larosa JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Francis is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Francis had worked at 4 firms, which includes SAXONY SECURITIES INC., MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2012 - March 18, 2013
SAXONY SECURITIES, INC.
June 1, 2009 - May 20, 2011
MORGAN STANLEY
June 1, 2009 - May 20, 2011
MORGAN STANLEY
May 8, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 9, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 11, 1995 - February 3, 1999
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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