Angela Francis
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.
Angela Francis, who also goes by Angela Marie Francis, was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 1998. Angela had worked at 7 firms and has passed the Series 65, Series 63, SIE, 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
August 4, 2014 - December 16, 2015
FFC CAPITAL ADVISORS, LLC
February 28, 2011 - April 19, 2012
WFG INVESTMENTS, INC.
May 31, 2008 - October 20, 2008
CAPITAL ONE INVESTMENT SERVICES LLC
November 6, 2007 - May 31, 2008
CAPITAL ONE INVESTMENTS, LLC
June 13, 2006 - September 5, 2007
BOK FINANCIAL SECURITIES, INC.
June 6, 2006 - September 5, 2007
BOK FINANCIAL SECURITIES, INC.
July 17, 2003 - June 8, 2006
CAPITAL ONE INVESTMENTS, LLC
January 6, 1999 - July 10, 2003
PAN-AMERICAN FINANCIAL ADVISERS
September 25, 1998 - January 11, 1999
LEGG MASON WOOD WALKER, INCORPORATED
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
FFC CAPITAL ADVISORS, LLC
CRD#: 149179 / SEC#: , 8-68118
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS PROGRESSIVE LIFE & ACCIDENT INSURANCE COMPANY | DIRECT OWNER ENTITY | |
| FRANCIS FINANCIAL GROUP, LLC DBA FFC CAPITAL MANAGEMENT | DIRECT OWNER ENTITY | |
| MAJESTIC MORTUARY SERVICE INC | PASSIVE SHAREHOLDERS | |
| BEATON, DANIEL STEWART | FINOP AND CFO | 4240769 |
| FRANCIS, OCTAVE JOSEPH III | EXECUTIVE OFFICER CEO / CCO | 1590513 |
| MAJESTIC LIFE INSURANCE COMPANY | PASSIVE SHAREHOLDERS |
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.
