Francis Cid
Professional summary
Francis Cid 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 professional and started their career in finance in 2004. Prior to being barred, Francis had worked at 16 firms, which includes EASTGATE SECURITIES LLC, CBC SECURITIES INC., JOSEPH STONE CAPITAL L.L.C., RICHARD JAMES & ASSOCIATES INC., CRAFT CAPITAL MANAGEMENT LLC, SOVEREIGN GLOBAL ADVISORS LLC, LAMPERT CAPITAL MARKETS INC., JOHN CARRIS INVESTMENTS LLC, NATIONAL SECURITIES CORPORATION, BROOKSTONE SECURITIES INC., ROCKWELL GLOBAL CAPITAL LLC, OBSIDIAN FINANCIAL GROUP LLC, BROOKVILLE CAPITAL PARTNERS, CITIGROUP GLOBAL MARKETS INC., EMPIRE FINANCIAL GROUP INC., GUNNALLEN FINANCIAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2020 - May 26, 2021
EASTGATE SECURITIES, LLC
February 20, 2020 - November 24, 2020
CBC SECURITIES, INC.
October 9, 2019 - March 9, 2020
JOSEPH STONE CAPITAL L.L.C.
January 25, 2019 - October 7, 2019
RICHARD JAMES & ASSOCIATES, INC.
March 24, 2016 - January 24, 2019
CRAFT CAPITAL MANAGEMENT LLC
March 28, 2014 - March 31, 2015
SOVEREIGN GLOBAL ADVISORS LLC
May 7, 2013 - April 4, 2014
LAMPERT CAPITAL MARKETS INC.
June 14, 2012 - June 3, 2013
JOHN CARRIS INVESTMENTS LLC
June 1, 2012 - June 15, 2012
NATIONAL SECURITIES CORPORATION
February 20, 2012 - April 2, 2012
BROOKSTONE SECURITIES, INC.
September 9, 2011 - March 7, 2012
ROCKWELL GLOBAL CAPITAL LLC
February 23, 2009 - April 27, 2010
OBSIDIAN FINANCIAL GROUP, LLC
August 29, 2008 - February 23, 2009
BROOKVILLE CAPITAL PARTNERS
November 28, 2007 - September 4, 2008
CITIGROUP GLOBAL MARKETS INC.
April 20, 2007 - November 20, 2007
BROOKVILLE CAPITAL PARTNERS
March 21, 2006 - April 20, 2007
EMPIRE FINANCIAL GROUP, INC.
May 3, 2004 - March 3, 2006
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
EASTGATE SECURITIES, LLC
CRD#: 146671 / SEC#: , 8-67837
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 2 |
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