Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Treglia is a financial professional with over 35 years of experience in the industry. Francis has a broad range of experience, having worked at several firms including Susquehanna Financial Group, Lllp and SIG Brokerage, LP. Francis has held several leadership positions including principal roles at different firms and currently holds Series 4, 7, 14, 24, 27, 63, 79TO, 87, 99TO and SIE licenses. Francis has held a Series 63 license since 1991 and has been registered with FINRA since 2002.
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.
1
2
NY
06/06/2002 - Present
Susquehanna Financial Group, Lllp (NEW YORK NY)
NY
02/29/2008 - 05/21/2009
SIG INDEX SPECIALISTS, LLC (NEW YORK NY)
NY
04/15/2005 - 03/31/2006
RIVER SECURITIES, LLC (NEW YORK NY)
NY
04/25/2001 - 08/10/2001
QUICK & REILLY, INC. (NEW YORK NY)
PA
05/01/1996 - 04/25/2001
SUMMIT FINANCIAL SERVICES GROUP, INC. (BETHLEHEM PA)
NA
06/16/1986 - 05/01/1996
UJB DISCOUNT BROKERAGE CO.
NA
01/03/1986 - 06/12/1986
MARSHALL DAVIS, INC.
NA
02/08/1985 - 08/05/1985
NIELSON AND CLARK INC.
BC
Issued 09/12/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2005
Series 14 - Compliance Officer Examination
BC
Issued 03/11/2004
Series 27 - Financial and Operations Principal Examination
BC
Issued 09/22/1993
Series 24 - General Securities Principal Examination
BC
Issued 12/30/1987
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2008
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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