Rupert Francis
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.
Rupert Francis was a registered financial professional .
Rupert is a previously registered financial professional and started their career in finance in 1979. Rupert had worked at 7 firms and has passed the Series 63, Series 7, Series 4 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
April 6, 2005 - December 31, 2015
FRANCIS ASSET MANAGEMENT
August 2, 1988 - December 12, 1989
BRANDON SECURITIES & INVESTMENTS, INC.
May 12, 1987 - February 12, 1988
BRANDON SECURITIES & INVESTMENTS, INC.
April 12, 1984 - June 20, 1984
CCA SECURITIES, INC.
April 10, 1984 - June 20, 1984
ECS SECURITIES, INC.
April 10, 1984 - October 17, 1984
EASTERN CAPITAL SECURITIES, INC.
January 12, 1982 - June 14, 1984
EASTERN CAPITAL CORPORATION
October 24, 1979 - September 30, 1981
SOURCE SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
FRANCIS ASSET MANAGEMENT
CRD#: 130392 / SEC#:
Contact information
Red Flags
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