Francis Jordan
Professional summary
Francis Jordan, who also goes by Frank Jordan, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.
Francis is registered as a RR (Registered Representative) and started their career in finance in 2016. Francis has worked at 5 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francis Jordan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2024 - Present
WOLFE RESEARCH SECURITIES
Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017March 7, 2019 - February 10, 2022
COWEN PRIME SERVICES LLC
March 7, 2019 - February 14, 2023
COWEN AND COMPANY
March 7, 2019 - February 14, 2023
TD ARRANGED SERVICES LLC
March 25, 2016 - July 21, 2020
COWEN EXECUTION SERVICES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory 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.
