Harry G. Francois
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.
Harry Gabriel Francois was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1997. Harry had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2004 - February 22, 2005
NATIONAL SECURITIES CORPORATION
August 29, 2002 - December 2, 2002
NATIONAL SECURITIES CORPORATION
April 12, 2001 - May 21, 2001
GUNNALLEN FINANCIAL, INC
January 19, 2001 - March 19, 2001
J.P. TURNER & COMPANY, L.L.C.
August 12, 1998 - December 22, 1999
FIRST ATLANTA SECURITIES, LLC
January 30, 1998 - April 17, 1998
MARION BASS SECURITIES CORPORATION
November 20, 1997 - February 12, 1998
ARGENT SECURITIES, INC.
May 13, 1997 - November 26, 1997
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
