Francis X. Corcoran
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 Xavier Corcoran SR, who also goes by Francis Xavier Corcoran, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1968. Francis had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 1992 - May 3, 1994
WG TRADING COMPANY LIMITED PARTNERSHIP
September 26, 1978 - November 24, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 4, 1973 - May 15, 1973
W. E. HUTTON & CO.
October 12, 1971 - February 12, 1973
WHITE, WELD & CO. INCORPORATED
April 25, 1968 - May 15, 1973
R. W. PRESSPRICH & CO. INCORPORATED
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 4/5/1968
Registered Representative ExaminationCurrent Firm
WG TRADING COMPANY LIMITED PARTNERSHIP
CRD#: 27308 / SEC#: , 8-43009
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPLOYEE RETIREMENT INCOME PLAN TRUST OF 3-M | LIMITED PARTNER IN APPLICANT | |
| STATE INVESTMENT BOARD NORTH DAKOTA | LIMITED PARTNER IN APPLICANT | |
| WGIA, LLC | LIMITED PARTNER IN APPLICANT | |
| SAN DIEGO COUNTY EMPLOYEE RETIREMENT | LIMITED PARTNER | |
| WG TRADING INVESTORS LIMITED PARTNERSHIP | LIMITED PARTNERSHIP IN APPLICANT | |
| BELLO, JOHN | CROP | 704376 |
| DUFFY, DEBORAH ANN | CCO | 1683496 |
| GREENWOOD, PAUL ROBERT | GENERAL PARTNER, CFO, COO | |
| WALSH, STEPHEN | GENERAL PARTNER, CEO, SROP | 458115 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
