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Duane Joseph Francis

Francis Capital Management, Inc.

Flower Mound, TX

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Current Employers
Francis Capital Management, Inc.

Flower Mound, TX • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2006-04-20
LA RA APPROVED 2006-03-06
  • TX RA
    APPROVED
    Since 2006-04-20
  • LA RA
    APPROVED
    Since 2006-03-06

Branch Locations

Flower Mound, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Francis Capital Management, Inc. Flower Mound TX 02/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-04
S63 Uniform Securities Agent State Law Examination 1992-10-26
  • S65 Uniform Investment Adviser Law Examination
    1993-01-04
  • S63 Uniform Securities Agent State Law Examination
    1992-10-26

View on SEC IAPD

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