Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frances? Claim Your ProfileFrances Huffman is a financial advisor with over 40 years of experience in the industry. Frances is registered with UBS Financial Services Inc. in Alabama and Texas. Frances is a Series 7, Series 3, Series 5 and Series 63 licensed professional. Frances was previously registered with CITIGROUP GLOBAL MARKETS INC., THE ROBINSON-HUMPHREY COMPANY, LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Frances is a member of the Board of Directors of the Huntsville Symphony Orchestra Association, the Huntsville Chamber Music Guild, and the Hudson Alpha Institute for Biotechnology.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
AL
10/24/2005 - Present
UBS Financial Services Inc. (HUNTSVILLE AL)
NY
01/02/2002 - 08/26/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
GA
10/01/1984 - 01/02/2002
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NA
04/13/1981 - 09/28/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 10/13/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/26/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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