Amritraj J. Francis
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.
Amritraj Joseph Francis was a registered financial professional .
Amritraj is a previously registered financial professional and started their career in finance in 2000. Amritraj had worked at 1 firm and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2000 - October 9, 2001
LIBERTY LIFE SECURITIES LLC
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
Current Firm
LIBERTY LIFE SECURITIES LLC
CRD#: 47737 / SEC#: , 8-51893
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LIBERTY LIFE ASSURANCE COMPANY OF BOSTON | MEMBERSHIP UNITHOLDER | |
| BARON, ANDREW JAMES | CO-CCO | 2684150 |
| DAUKSEWICZ, WILLIAM JOSEPH | BOARD OF MANAGERS | 1059039 |
| DAUKSEWICZ, WILLIAM JOSEPH | PRESIDENT | 1059039 |
| DAUKSEWICZ, WILLIAM JOSEPH | SUPERVISORY PRINCIPAL | 1059039 |
| GOULD, KENNETH WILLIAM JR | CO-CCO | 2697633 |
| NEAL, CHERYL KINGSFIELD | BOARD OF MANAGERS | |
| O'CONNELL, WILLIAM J. | BOARD OF MANAGERS | |
| SENTLER, STEVEN MICHAEL | BOARD OF MANAGERS | |
| SWEENEY, TIMOTHY MICHAEL | CHAIRMAN, BOARD OF MANAGERS | |
| WOOD, DOUGLAS JOHN | FINANCIAL OPERATIONS PRINCIPAL | 3146278 |
Red Flags
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