Francis P. Anderson
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 Peter Anderson, who also goes by Fran Anderson, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1994. Francis had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 27, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2006 - February 6, 2012
EQUITY SOURCE PARTNERS, LLC
March 26, 2003 - August 17, 2006
LAIDLAW & COMPANY (UK) LTD.
December 23, 1996 - March 21, 2003
KSH INVESTMENT GROUP, INC.
February 21, 1996 - February 27, 1996
CAIN BROTHERS & COMPANY, LLC
April 21, 1994 - October 30, 1995
MURIEL SIEBERT & CO., LLC
January 14, 1994 - March 18, 1994
MONTANO SECURITIES CORPORATION
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 55
Date: 2/22/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 7/6/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EQUITY SOURCE PARTNERS, LLC
CRD#: 140227 / SEC#: , 8-67295
Contact information
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.
