Francis A. Abanga
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 A Abanga, who also goes by Francis Asugya Abanga Mr., Francis Asugya Abanga, Francis Abanga, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2007. Francis had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2023 - August 4, 2026
CITIZENS SECURITIES, INC.
April 12, 2023 - August 4, 2026
CITIZENS SECURITIES, INC.
September 21, 2017 - April 4, 2023
CITIGROUP GLOBAL MARKETS INC.
September 18, 2017 - April 4, 2023
CITIGROUP GLOBAL MARKETS INC.
November 10, 2014 - September 27, 2017
J.P. MORGAN SECURITIES LLC
November 3, 2014 - September 27, 2017
J.P. MORGAN SECURITIES LLC
November 20, 2013 - November 10, 2014
SANTANDER SECURITIES LLC
November 19, 2013 - November 10, 2014
SANTANDER SECURITIES LLC
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
November 25, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 24, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
