Frances N. Jain
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.
Frances Nagy Jain, who also goes by Francie Jain, Frances Pinkney Nagy, Frances Nagy, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 2009. Frances had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2015 - June 30, 2022
SILVER LEAF PARTNERS, LLC
March 26, 2010 - March 5, 2013
FM PARTNERS HOLDINGS LLC
September 28, 2009 - March 12, 2010
PATRICK CAPITAL MARKETS, LLC
May 13, 2009 - September 28, 2009
BEDMINSTER FINANCIAL GROUP, LIMITED
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 62
Date: 5/12/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
SILVER LEAF PARTNERS, LLC
CRD#: 126694 / SEC#: , 8-65902
Contact information
FINRA licenses (50 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.
