Francis T. Gorman
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 Thomas Gorman, who also goes by Francis T Gorman, Francis Thomas Gorman, Francis Gorman, Frank Gorman, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2001. Francis had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 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
September 13, 2019 - March 31, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2019 - March 31, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2017 - May 30, 2019
CUSO FINANCIAL SERVICES, L.P.
October 26, 2017 - May 30, 2019
CUSO FINANCIAL SERVICES, L.P.
April 21, 2015 - October 16, 2017
MML INVESTORS SERVICES, LLC
April 9, 2015 - October 16, 2017
MML INVESTORS SERVICES, LLC
February 22, 2011 - March 20, 2015
WADDELL & REED
February 18, 2011 - March 20, 2015
WADDELL & REED
October 5, 2005 - February 23, 2011
EDWARD JONES
October 4, 2005 - February 23, 2011
EDWARD JONES
June 30, 2005 - October 20, 2005
EQUITY SERVICES, INC.
June 9, 2005 - October 20, 2005
EQUITY SERVICES, INC.
May 7, 2004 - June 1, 2005
MSI FINANCIAL SERVICES, INC.
January 4, 2001 - June 1, 2005
METROPOLITAN LIFE INSURANCE COMPANY
January 4, 2001 - June 1, 2005
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
