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Joaquin Nmn Frances

Boreal Capital Securities LLC

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About Joaquin Nmn Frances

Joaquin Frances has been in the financial services industry since 2011. Joaquin is currently registered with Boreal Capital Securities LLC and is licensed in Florida and Texas. Joaquin has passed the Series 63 and Series 65 exams, as well as the Series 4, Series 24, Series 7, and Series 99TO. Joaquin was previously registered with ANDBANC Brokerage, LLC and Northeast Securities, Inc.

Firm Information

Joaquin Frances is currently registered with Boreal Capital Securities LLC. Boreal Capital Securities LLC is a Limited Liability Company that was formed in June 2011. The firm is registered with the SEC and has offices in Arizona, California, Colorado, Delaware, Florida, Illinois, Kansas, Maine, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, and Wisconsin.

Not reported

Assets Under Management

Not reported

Total Clients

7

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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Joaquin Frances’s Registration & Firm History

FL

06/02/2022 - Present

Boreal Capital Securities LLC (Miami FL)

FL

04/11/2012 - 06/13/2022

ANDBANC BROKERAGE, LLC (MIAMI FL)

FL

07/26/2011 - 07/02/2012

NORTHEAST SECURITIES, INC. (MIAMI FL)

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Licenses & Designations

BC

Issued 10/19/2017

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 07/27/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/17/2012

Series 4 - Registered Options Principal Examination

BC

Issued 09/30/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/21/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joaquin Nmn Frances.
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