Francis B. Mahon
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 Bernard Mahon, who also goes by Bernard M Frances, Francis Bernard Mahon III, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2001. Francis had worked at 5 firms and has passed the Series 65, Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2017 - December 31, 2018
CATAMOUNT STRATEGIC ADVISORS, LLC
November 17, 2014 - December 31, 2015
CATAMOUNT STRATEGIC ADVISORS, LLC
October 25, 2011 - January 2, 2013
ECHOTRADE LLC
May 9, 2011 - October 21, 2011
ECHOTRADE LLC
July 28, 2008 - September 14, 2010
CREDIT SUISSE SECURITIES (USA) LLC
April 15, 2002 - September 19, 2007
MORGAN STANLEY & CO. LLC
February 15, 2001 - June 21, 2001
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CATAMOUNT STRATEGIC ADVISORS, LLC
CRD#: 150823 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 51,314,000 |
Red Flags
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