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FF

Frances Finch

CHINA RENAISSANCE SECURITIES (US)
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2790808
FF

Professional summary

Frances Finch, who also goes by Frances Fanning, Frances Fanning-greller, Frances Fanninggreller, Frances Greller, is a registered financial professional currently at CHINA RENAISSANCE SECURITIES (US) INC. located in New York, New York.

Frances is registered as a RR (Registered Representative) and started their career in finance in 1996. Frances has worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frances Fanning | Frances Fanning-Greller | Frances Fanninggreller | Frances Greller

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) - BD

Click below to view Frances Finch's CRS (Customer Relationship Summary).

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

Current

May 29, 2025 - Present

CHINA RENAISSANCE SECURITIES (US) INC.

Office #1: 295 Madison Avenue 18th Floor, New York, NY 10017
BD
CRD#: 166318
NEW YORK, NY
Past

November 30, 2015 - June 4, 2024

CHINA RENAISSANCE SECURITIES (US) INC.

BD
CRD#: 166318
NEW YORK, NY
Past

September 9, 2014 - June 19, 2015

WYCHE SECURITIES, INC.

BD
CRD#: 40772
CORVALLIS, MT
Past

August 13, 2014 - October 19, 2017

BTIG, LLC

BD
CRD#: 122225
SAN FRANCISCO, CA
Past

May 17, 2011 - November 1, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

December 15, 2010 - November 8, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

January 17, 2008 - November 5, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

December 13, 2005 - November 27, 2007

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

August 13, 2004 - January 3, 2006

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

October 9, 2003 - August 6, 2004

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

July 7, 2000 - September 2, 2003

NATIONAL BANK OF CANADA FINANCIAL INC.

BD
CRD#: 22698
NEW YORK, NY
Past

February 8, 1999 - October 29, 1999

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

October 15, 1996 - October 29, 1999

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA

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
RR
Series 63
Date: 1/6/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 5/20/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/14/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/12/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CR
CHINA RENAISSANCE SECURITIES (US) INC.
CHINA RENAISSANCE SECURITIES (US) INC.

CRD#: 166318 / SEC#: , 8-69197

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
295 Madison Avenue 18th Floor, New York, NY 10017
Mailing Address
295 Madison Avenue 18th Floor, New York, NY 10017
Phone number
(212) 554-2960
Established
New York since 08/23/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHINA RENAISSANCE HOLDINGS LIMITEDSOLE SHAREHOLDER
CHIN, PHYLLIS NYUK FAHFINOP6250921
GANZ, NICHOLAS THOMASGENERAL COUNSEL/CHIEF COMPLIANCE OFFICER1503100
HONG, JONATHAN DEANCHIEF EXECUTIVE OFFICER/PRESIDENT3142100

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

CHINA RENAISSANCE SECURITIES (US) INC.

CRD#: 166318New York, NY 10017

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