Francine L. Mozer
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.
Francine Lee Mozer, who also goes by Francine Jue, Francine Lee, Francine Jue Weaver, Francine Lee Weaver, was a registered financial professional .
Francine is a previously registered financial professional and started their career in finance in 1979. Francine had worked at 5 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2005 - July 11, 2018
CREDIT SUISSE SECURITIES (USA) LLC
July 25, 1987 - May 10, 2005
MORGAN STANLEY MARKET PRODUCTS INC.
June 25, 1984 - May 10, 2005
MORGAN STANLEY & CO. LLC
August 24, 1982 - August 13, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 1979 - September 23, 1982
SALOMON BROTHERS 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 5
Date: 8/6/1982
Interest Rate Options ExaminationSeries 8
Date: 8/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
