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Francis Anthony Montalbano

Barclays Capital Inc.

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About Francis Anthony Montalbano

Francis Montalbano is a registered representative with Barclays Capital Inc. Francis has been in the securities industry since February 19, 1998. Francis has a Series 63, Series 7, Series 9, Series 10 and Series 4. Francis is registered with the state of New York. Before joining Barclays Capital Inc. Francis was registered with REFCO SECURITIES, LLC and MORGAN STANLEY & CO., INCORPORATED. Francis was previously registered with Waterhouse Securities, Inc. and has been a registered representative for over 25 years.

Firm Information

Francis Montalbano is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Francis Montalbano’s Registration & Firm History

NY

11/15/2005 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

04/04/2005 - 11/11/2005

REFCO SECURITIES, LLC (NEW YORK NY)

NY

04/22/1997 - 04/08/2003

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NE

02/22/1996 - 06/12/1997

WATERHOUSE SECURITIES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 05/21/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/17/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/17/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/31/1999

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Francis Anthony Montalbano.
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