Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis John Roughan is a financial professional with over 27 years of experience in the securities industry. Francis is currently registered with Natixis Securities Americas LLC. Before joining Natixis Securities Americas LLC, Francis was registered with ICAP Securities USA LLC, Croton Liquid Markets LLC, Guggenheim Securities, LLC, Guggenheim Liquidity Services, LLC, Commerzbank Capital Markets Corp., Surety Financial Services, Deutsche Bank Securities Inc., BT Alex. Brown Incorporated, and Smith Barney Inc. Francis holds the Series 3, 7, 63, 72 and SIE licenses.
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
10/05/2021 - Present
Natixis Securities Americas LLC (NEW YORK NY)
NY
04/09/2021 - 09/23/2021
ICAP SECURITIES USA LLC (NEW YORK NY)
NY
11/14/2016 - 08/27/2020
CROTON LIQUID MARKETS LLC (NEW YORK NY)
NY
11/01/2010 - 08/27/2020
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
04/27/2007 - 11/02/2010
GUGGENHEIM LIQUIDITY SERVICES, LLC (NEW YORK NY)
NY
04/28/2004 - 01/05/2006
COMMERZBANK CAPITAL MARKETS CORP. (NEW YORK NY)
NY
07/10/2001 - 05/05/2004
SURETY FINANCIAL SERVICES (WANTAGH NY)
NY
06/07/1999 - 07/27/1999
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
03/04/1998 - 06/07/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NY
05/19/1994 - 12/19/1997
SMITH BARNEY INC. (NEW YORK NY)
NY
10/02/1991 - 05/09/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/02/1991 - 05/09/1994
LEHMAN GOVERNMENT SECURITIES INC.
NA
10/02/1991 - 05/09/1994
LEHMAN SPECIAL SECURITIES INC.
BC
Issued 02/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1992
Series 3 - National Commodity Futures Examination
BC
Issued 11/13/1991
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
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