Francis B. Arokium
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 Arokium was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2000. Francis had worked at 6 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2016 - June 6, 2017
MUFG SECURITIES (CANADA), LTD.
May 13, 2015 - October 27, 2015
PGM GLOBAL INC.
November 27, 2012 - December 20, 2013
JENNINGS CAPITAL (USA) INC.
April 12, 2011 - February 10, 2015
HAMPTON SECURITIES (USA), INC.
February 22, 2011 - February 8, 2013
NCP NORTHLAND CAPITAL PARTNERS (USA) INC.
December 17, 2008 - April 24, 2009
BLV SECURITIES
December 20, 2000 - July 30, 2008
BLV SECURITIES
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
MUFG SECURITIES (CANADA), LTD.
CRD#: 281904 / SEC#: , 8-69693
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG SECURITIES AMERICAS INC. | PARENT COMPANY | 19685 |
| GARDNER, CRAIG | OUTSIDE DIRECTOR | 6685620 |
| HSU, WEN-CHUAN | CHIEF COMPLIANCE OFFICER | 2572221 |
| MANSFIELD, WILLIAM RENICK JR | CEO | 1398078 |
| MCDERMOTT, KEITH FRANCIS | CHIEF FINANCIAL OFFICER | 2179486 |
| TESTA, RICHARD CARMINE | MANAGING DIRECTOR, CO-HEAD OF CAPITAL MARKETS | 2573394 |
Red Flags
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