Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Hou is a registered representative with TD Securities (usa) LLC in New York, NY. Francis has 9 years of experience in the financial services industry. Francis holds the Series 79 and SIE licenses. Francis has previously worked at Cowen and Company, Piper Jaffray & Co., and Houlihan Lokey Capital, Inc.
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.
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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2
NY
03/06/2024 - Present
TD Securities (usa) LLC (New York NY)
NY
06/13/2018 - 04/10/2024
COWEN AND COMPANY (NEW YORK NY)
CA
09/14/2015 - 05/21/2018
PIPER JAFFRAY & CO. (SAN FRANCISCO CA)
CA
10/03/2014 - 09/18/2015
HOULIHAN LOKEY CAPITAL, INC. (LOS ANGELES CA)
BC
Issued 08/26/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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