Francis W. Lachicotte
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.
Francis Williams Lachicotte IV, CFP®, who also goes by Francis Williams Lachicotte, Frank Lachicotte IV, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1970. Francis had worked at 12 firms and has passed the Series 65, Series 63, Series 5, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2019
Experience
May 22, 2012 - July 2, 2014
SPC
May 21, 2012 - July 2, 2014
PARKLAND SECURITIES, LLC
March 15, 2010 - May 22, 2012
BROKERSXPRESS LLC
March 11, 2010 - May 22, 2012
BROKERSXPRESS LLC
January 2, 2009 - March 11, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 19, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - March 11, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 11, 1988 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
March 31, 1986 - May 18, 1988
WACHOVIA SECURITIES, INC.
April 20, 1983 - April 4, 1986
MORGAN STANLEY DW INC.
March 5, 1979 - April 27, 1983
CITIGROUP GLOBAL MARKETS INC.
December 28, 1973 - April 2, 1979
E. F. HUTTON & COMPANY INC
February 4, 1972 - December 28, 1973
WACHOVIA SECURITIES, INC.
September 1, 1971 - March 10, 1972
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 29, 1970 - October 13, 1971
CECIL,APPLEGATE,IGOE AND HOLT,INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
Series 5
Date: 11/9/1982
Interest Rate Options ExaminationSeries 1
Date: 7/3/1961
Registered Representative ExaminationSeries 8
Date: 6/18/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
