Francis V. Lloyd
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 Vernon Lloyd III, who also goes by Francis Vernon Lloyd, Frank Lloyd, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1967. Francis had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 1, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2006 - September 26, 2019
WINSLOW, EVANS & CROCKER, INC.
May 31, 2002 - September 26, 2019
WINSLOW, EVANS & CROCKER, INC.
November 8, 1990 - February 13, 2002
NORDBERG CAPITAL PARTNERS, INC.
June 11, 1984 - May 29, 1990
MORGAN KEEGAN & COMPANY, LLC
August 20, 1980 - June 19, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
December 13, 1979 - January 17, 1983
J.C. BRADFORD & CO.
January 6, 1977 - December 28, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
December 1, 1976 - December 5, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
May 17, 1972 - January 6, 1977
WILLIAM D. WITTER, INC.
December 11, 1967 - May 24, 1972
CITIGROUP GLOBAL MARKETS 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
Series 1
Date: 12/8/1967
Registered Representative ExaminationSeries 8
Date: 4/27/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 10/22/1973
Registered Principal ExaminationCurrent Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
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.
