Francis A. Seow
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 Aik Leong Seow was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2001. Francis had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2019 - August 15, 2022
MAYBANK SECURITIES USA INC.
August 13, 2012 - December 8, 2016
MAYBANK SECURITIES USA INC.
January 12, 2010 - August 13, 2012
KEEFE, BRUYETTE & WOODS, INC.
October 1, 2008 - April 27, 2009
J.P. MORGAN SECURITIES LLC
May 14, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 1, 2005 - April 30, 2007
CREDIT AGRICOLE SECURITIES (USA) INC.
February 23, 2004 - September 2, 2005
NOMURA SECURITIES INTERNATIONAL, INC.
February 25, 2002 - February 23, 2004
DEUTSCHE BANK SECURITIES INC.
May 1, 2001 - June 21, 2001
J.P. MORGAN SECURITIES INC.
March 19, 2001 - May 1, 2001
JPMSI
March 14, 2001 - March 19, 2001
ROBERT FLEMING INC.
State Registrations and Notice Filings
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Exams
Current Firm
MAYBANK SECURITIES USA INC.
CRD#: 27861 / SEC#: , 8-43264
Contact information
Documents
Red Flags
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