Francis T. Pugh
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 T. Pugh, who also goes by Francis T. Pugh, Nick Pugh, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2004. Francis had worked at 5 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
December 9, 2011 - September 16, 2013
KOTAK MAHINDRA, INC.
October 20, 2010 - August 8, 2011
AQUILA DISTRIBUTORS LLC
March 8, 2006 - December 8, 2009
SENTINEL FINANCIAL SERVICES COMPANY
December 1, 2005 - March 6, 2006
PNC WEALTH MANAGEMENT LLC
December 1, 2005 - March 6, 2006
PNC WEALTH MANAGEMENT LLC
November 18, 2004 - July 29, 2005
MORGAN KEEGAN & COMPANY, LLC
August 27, 2004 - July 29, 2005
MORGAN KEEGAN & COMPANY, 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
Exams
Current Firm
KOTAK MAHINDRA, INC.
CRD#: 47251 / SEC#: , 8-51740
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOTAK MAHINDRA BANK LIMITED | SHAREHOLDER | |
| KOTAK MAHINDRA CAPITAL COMPANY | SHAREHOLDER | |
| DHRUV, PAYAL NIRISH | CHIEF COMPLIANCE OFFICER | 5467742 |
| FULVIO, GENNARO JOHN | PRICIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2435828 |
| FULVIO, GENNARO JOHN | FINOP/CFO | 2435828 |
| JOSEPH, GIJO NMN | PRESIDENT, CEO, DIRECTOR | 5949875 |
| KOTAK MAHINDRA INTERNATIONAL LTD. | SHAREHOLDER | |
| NO LAST NAME, KRISHNAN RAMCHANDRAN | DIRECTOR | 8058651 |
| SYAMASUNDARAN, SHYAM KUMAR | DIRECTOR | 4571814 |
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.
