Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frances? Claim Your ProfileFrances Leigh Beecy is a financial professional with over 25 years of experience in the financial services industry. Frances is currently registered with Goldman Sachs & Co. LLC and has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Fidelity Investments Institutional Services Company, Inc., Scudder Investor Services, Inc., and Pruco Securities Corporation. Frances holds Series 6, 7, 63, 65 and 66 licenses. Frances has a strong background in providing investment advice and portfolio management services to a wide range of clients. Frances specializes in providing financial planning services, educational seminars, and portfolio management for individuals, businesses, and pooled investment vehicles.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
NY
10/27/2021 - Present
Goldman Sachs & Co. LLC (NEW YORK NY)
MA
03/27/2007 - 09/03/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTBOROUGH MA)
MA
10/06/2000 - 02/12/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MARLBOROUGH MA)
NY
04/03/1992 - 08/01/1995
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
NJ
08/08/1988 - 03/13/1989
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 12/16/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/13/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/2021
Series 7TO - General Securities Representative Examination
BC
Issued 06/27/2006
Series 7 - General Securities Representative Examination
BC
Issued 10/05/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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