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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Richard Courtney is a financial advisor with over 38 years of experience in the industry. Courtney is currently registered with RBC Capital Markets, LLC and has been with the firm since 2008. Francis Courtney has held previous roles at Wachovia Securities, LLC, First Union Capital Markets Corp., Salomon Smith Barney Inc. and Lehman Brothers Inc. Francis Richard Courtney is a Series 3, 7, 63 and 65 licensed professional and holds a Series SIE. Courtney has extensive experience in the securities industry and has a strong understanding of the financial markets. Francis Richard Courtney provides financial planning services, portfolio management, and educational seminars. Francis Courtney works with individuals, families, businesses, and institutions to help them achieve their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
PA
01/22/2004 - Present
RBC Capital Markets, LLC (CONSHOHOCKEN PA)
MO
10/01/1999 - 01/13/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
06/07/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
07/31/1993 - 06/14/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/20/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/1986
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1984
Series 7 - General Securities 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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