Frances Y. Maniscalco
Professional summary
Frances Yvette Maniscalco, who also goes by Frances Yvette Brown, Frances Yvette Kaylor, Frances Yvette Kaylor-brown, Frances Yvette Kaylor-tran, Frances Yvette Munoz, Frances Yvette Tran, Yvette Brown Tran, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in Costa Mesa, California.
Frances is registered as a RR (Registered Representative) and started their career in finance in 1999. Frances has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frances Yvette Maniscalco's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2025 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 2900 Bristol Street Suite #a-107, Costa Mesa, CA 92626July 26, 2010 - October 26, 2011
U.S. BANCORP INVESTMENTS, INC.
July 28, 2008 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 23, 2008 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 16, 2005 - July 19, 2007
WELLS FARGO INVESTMENTS, LLC
September 16, 2005 - July 19, 2007
WELLS FARGO INVESTMENTS, LLC
September 27, 2002 - May 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 11, 1999 - May 31, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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 7TO
Date: 3/14/2025
General Securities Representative ExaminationFINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
Red Flags
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