Joaquin N. Frances
Professional summary
Joaquin Nmn Frances, who also goes by Joaquin Frances, is a registered financial professional currently at BOREAL CAPITAL SECURITIES LLC located in Miami, Florida.
Joaquin is registered as a RR (Registered Representative) and started their career in finance in 2011. Joaquin has worked at 3 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joaquin Nmn Frances's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2022 - Present
BOREAL CAPITAL SECURITIES LLC
Office #1: 1450 Brickell Avenue, Suite 2900, Miami, FL 33131Office #2: 1450 Brickell Avenue Suite 2900, Miami, FL 33131April 11, 2012 - June 13, 2022
ANDBANC BROKERAGE, LLC
July 26, 2011 - July 2, 2012
NORTHEAST SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/2/2022)
(12/12/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BOREAL CAPITAL SECURITIES LLC
CRD#: 158599 / SEC#: , 8-68910
Contact information
FINRA licenses (15 States and Territories)
Red Flags
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Company Information
BOREAL CAPITAL SECURITIES LLC
CRD#: 158599Miami, FL 33131TRUST BUT VERIFY
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