Robert B. Francis
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.
Robert Berry Francis was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 3 firms and has passed the Series 63, Series 5, Series 3 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1995 - February 3, 1997
EQUITY CAPITAL CORPORATION
June 14, 1983 - May 4, 1993
PRUDENTIAL EQUITY GROUP, LLC
July 27, 1977 - May 22, 1984
SWINK & COMPANY, INC.
April 12, 1976 - June 7, 1983
SWINK & COMPANY, 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
Series 5
Date: 5/30/1984
Interest Rate Options ExaminationSeries 40
Date: 7/22/1977
Registered Principal ExaminationCurrent Firm
EQUITY CAPITAL CORPORATION
CRD#: 13203 / SEC#: , 8-28763
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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