Francis L. Starace
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 Louis Starace was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1980. Francis had worked at 5 firms and has passed the Series 63, SIE, Series 7 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
August 25, 1986 - December 24, 1986
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
August 19, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 19, 1980 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 19, 1980 - September 14, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 1980 - September 1, 1980
FORESTERS FINANCIAL SERVICES, INC.
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 1
Date: 6/5/1980
Registered Representative ExaminationCurrent Firm
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
CRD#: 11176 / SEC#: , 8-12550
Contact information
Documents
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.
