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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2018-04-20 |
Branch Locations
909 Poydras Street; Suite 1300 First Bank & Trust Tower, New Orleans, LA 70112 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ffc Capital Advisors, Llc | New Orleans | LA | 07/2008 | 03/2018 |
| Raymond James & Associates, Inc. | New Orleans | LA | 03/2018 | Present |
| The Brokerage, Inc. | Jackson | MS | 03/2019 | Present |
(1)Name of Business: Francis Financial Group, LLC Address: 7037 Chestnut St., New Orleans, LA, 70118, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 03/21/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Formerly a registered investment advisor (IA) and municipal advisor (MA). Entity also invested in private assets and real estate for its own account. Filed MA-W and ADV-W in 2018 subsequent to joining RJA. Administrative role only for remaining asset/liability wind down.\n\nEntity being utilized as support entity to RJA practice.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 1989-02-14 |
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