Francisco S. Velez
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.
Francisco Santiago Velez, who also goes by Daco Velez, Francisco S Velez, Frank Velez, Paco Velez, was a registered financial professional .
Francisco is a previously registered financial professional and started their career in finance in 1974. Francisco had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1992 - July 7, 1994
CARILLON INVESTMENTS, INC.
June 20, 1989 - February 25, 1992
METROPOLITAN LIFE INSURANCE COMPANY
June 20, 1989 - February 25, 1992
MSI FINANCIAL SERVICES, INC.
March 10, 1988 - April 5, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 10, 1988 - April 5, 1989
EQUITABLE ADVISORS, LLC
February 6, 1986 - July 25, 1987
EQUITY SERVICES, INC.
November 3, 1978 - February 22, 1986
METROPOLITAN LIFE INSURANCE COMPANY
November 3, 1978 - February 24, 1986
MSI FINANCIAL SERVICES, INC.
September 25, 1975 - March 12, 1979
ENTERPRISE FUND DISTRIBUTORS, INC.
July 18, 1975 - May 19, 1976
HIMCO DISTRIBUTION SERVICES COMPANY
July 18, 1974 - September 18, 1975
OPPENHEIMER ASSET MANAGEMENT CORPORATION
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 1
Date: 7/13/1974
Registered Representative ExaminationCurrent Firm
CARILLON INVESTMENTS, INC.
CRD#: 14646 / SEC#: , 8-31002
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE UNION CENTRAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| ELLIOTT, JENNIFER ANN | ASSISTANT VICE PRESIDENT, OPERATIONS | 4181299 |
| FELDMAN, JOHN ROBERT | ASSISTANT VICE PRESIDENT, SROP | 2139396 |
| GROSSER, CONNIE SUE | VICE PRESIDENT, SROP, FINOP PRINCIPAL, MUNI PRINCIPAL, TREASURER | 1998135 |
| HITCHCOCKGEAR, SALENE MARIE | PRESIDENT | 2590328 |
| HUFFMAN, GARY THOMAS | DIRECTOR | 1032890 |
| LABMEIER, JOHN FRANCIS | VICE PRESIDENT AND SECRETARY | 1229012 |
| LUCAS, JOHN MICHAEL | ASSISTANT SECRETARY | 2099377 |
| MACKENDRICK, MELISSA ANN | ASSISTANT TREASURER | 3236420 |
| OTOOLE, KEVIN WILLIAM | VICE PRESIDENT | 1218438 |
| STARKEY, AMY DANNIS | ASSISTANT VICE PRESIDENT, CROP AND CHIEF COMPLIANCE OFFICER | 2469045 |
| SUTERMEISTER, STEVEN ROBERT | DIRECTOR | 846329 |
| VANERP, ANDREW JAMES | VICE PRESIDENT, MARKETING & SALES | 2643069 |
Disclosures
| Arbitration | 1 |
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.
