Francis A. Thomas
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 Alfston Thomas was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 2022. Francis had worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2022 - June 23, 2023
FOREST ROAD SECURITIES
State Registrations and Notice Filings
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Exams
Series 79TO
Date: 2/7/2022
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 11/9/2021
General Securities Representative ExaminationCurrent Firm
FOREST ROAD SECURITIES
CRD#: 313784 / SEC#: , 8-70696
Contact information
Documents
Red Flags
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