Francis D. Moise
Professional summary
Francis Davis Moise SR was barred by the SEC 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 1970. Prior to being barred, Francis had worked at 7 firms, which includes FIRST WESTERN SECURITIES INC., PROSPERA FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, J.C. BRADFORD & CO., BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2018 - November 1, 2019
FIRST WESTERN SECURITIES, INC.
January 24, 2018 - November 1, 2019
FIRST WESTERN SECURITIES, INC.
March 4, 2005 - January 31, 2018
PROSPERA FINANCIAL SERVICES, INC.
May 24, 1994 - January 31, 2018
PROSPERA FINANCIAL SERVICES, INC.
April 29, 1986 - May 25, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 1, 1980 - February 21, 1981
J.C. BRADFORD & CO.
September 16, 1977 - October 28, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
March 16, 1970 - February 27, 1976
BACHE & CO., INCORPORATED
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 15
Date: 8/26/1986
Foreign Currency Options ExaminationSeries 1
Date: 5/16/1960
Registered Representative ExaminationSeries 40
Date: 3/16/1970
Registered Principal ExaminationCurrent Firm
FIRST WESTERN SECURITIES, INC.
CRD#: 19537 / SEC#: 801-70430, 8-37613
Contact information
FINRA licenses (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 36 |
| AUM (Assets Under Management) | $ 41,715,412 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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