Francis D. Rawdon
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 Daniel Rawdon was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2003. Francis had worked at 3 firms and has passed the Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2011 - July 17, 2013
GILFORD SECURITIES INCORPORATED
April 15, 2004 - April 24, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 31, 2003 - April 7, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
