Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Octave? Claim Your ProfileOctave Joseph Francis is a financial advisor with over 30 years of experience in the financial services industry. Octave is currently registered with Raymond James & Associates, Inc. Octave has been with Raymond James since March 2018. Prior to joining Raymond James, Octave worked at FFC Capital Advisors, LLC and WFG Investments, Inc. Octave holds Series 7, 6, 50, 52, 53, 63, 65, 99, and SIE licenses and is registered in 10 states. Octave specializes in providing financial planning, portfolio management, and investment advice to individuals, businesses, and institutions. Octave is also a member of the New Orleans Aviation Board Finance/Investment Committee.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
LA
04/20/2018 - Present
Raymond James & Associates, Inc. (NEW ORLEANS LA)
LA
12/16/2011 - 03/02/2018
FFC CAPITAL ADVISORS, LLC (NEW ORLEANS LA)
LA
01/04/2007 - 05/16/2012
WFG INVESTMENTS, INC. (NEW ORLEANS LA)
LA
11/30/2005 - 12/19/2006
FSC SECURITIES CORPORATION (NEW ORLEANS LA)
LA
05/07/2001 - 11/30/2005
PAN-AMERICAN FINANCIAL ADVISERS (NEW ORLEANS LA)
NY
04/13/1996 - 05/10/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
02/19/1992 - 04/09/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MD
01/25/1989 - 02/10/1992
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NA
12/19/1986 - 02/04/1989
FIRST AMERICAN NATIONAL SECURITIES, INC.
IA
Issued 07/11/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/02/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/23/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 01/21/1989
Series 7 - General Securities Representative Examination
BC
Issued 12/17/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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