Unclaimed
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.
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
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)
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
Active
Inactive
F
FINRA
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