Francis M. Mao
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 Min Mao, who also goes by Francis Min Mao, was a registered financial advisor .
Francis is a previously registered financial advisor and started their career in finance in 2003. Francis had worked at 4 firms and has passed the Series 66 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 26, 2006 - July 3, 2008
SEVEN HILLS PARTNERS LLC
October 6, 2004 - April 24, 2006
CASCADIA CAPITAL, LLC
August 15, 2003 - September 15, 2003
MSI FINANCIAL SERVICES, INC.
June 12, 2003 - September 15, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 12, 2003 - September 15, 2003
MSI FINANCIAL SERVICES, 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
Current Firm
SEVEN HILLS PARTNERS LLC
CRD#: 118240 / SEC#: , 8-53656
Contact information
Documents
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.
