Frances J. Boatwright
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.
Frances Jean Boatwright, who also goes by Moore, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 2003. Frances had worked at 6 firms and has passed the Series 66, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2012 - October 18, 2013
INVESCO CAPITAL MARKETS, INC.
January 1, 2010 - May 7, 2014
INVESCO ADVISERS, INC.
January 1, 2009 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
December 7, 2007 - January 2, 2014
INVESCO DISTRIBUTORS, INC.
July 15, 2005 - December 7, 2007
AT INVESTOR SERVICES, INC.
May 23, 2003 - July 15, 2005
GPC SECURITIES, INC.
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 55
Date: 6/8/2012
Limited Representative-Equity Trader ExamCurrent Firm
INVESCO CAPITAL MARKETS, INC.
CRD#: 6939 / SEC#: , 8-19412
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | OWNER | |
| GEYER, WILLIAM SENG | DIRECTOR AND CO-PRESIDENT | 2250035 |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARTIGAN, BRIAN CHRISTOPHER | DIRECTOR AND CO-PRESIDENT | 4227272 |
| SAUERBORN, THOMAS J | PRINCIPAL OPERATIONS OFFICER | 1554859 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 6 |
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.
