Michele A. Francis
Professional summary
Michele Ann Francis, who also goes by Michele Ann Contey, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Toms River, New Jersey.
Michele is registered as a RR (Registered Representative) and started their career in finance in 1997. Michele has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michele Ann Francis's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2019 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 429 Hooper Avenue, Toms River, NJ 08753October 25, 2016 - November 29, 2018
INTERNATIONAL ASSETS ADVISORY, LLC
January 7, 2014 - March 11, 2016
FIRST ALLIED SECURITIES, INC.
October 1, 2000 - December 7, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 18, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2023)
(10/1/2019)
(10/1/2019)
(10/1/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Toms River, NJ 08753TRUST BUT VERIFY
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