Frances T. Singer
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 Tsuing Singer, who also goes by Frances Messick, Frances Ng, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 2019. Frances had worked at 3 firms and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2021 - July 7, 2023
NASDAQ CAPITAL MARKETS ADVISORY LLC
September 10, 2020 - December 13, 2021
NASDAQ EXECUTION SERVICES, LLC
March 22, 2019 - April 5, 2019
KESTRA INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/22/2019
General Securities Representative ExaminationCurrent Firm
NASDAQ CAPITAL MARKETS ADVISORY LLC
CRD#: 104295 / SEC#: , 8-52750
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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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