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FRANCIS XAVIER AMSLER
FRANCIS XAVIER AMSLER JR, FRANCIS XAVIER JR AMSLER, FRANCIS XAVIER XAVIER AMSLER JR, FRANK AMSLER JR, FRANK AMSLER
CRD#: 2526813
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 1330 Post Oak Boulevard - 11th Floor
Houston, TX 77056
Houston, TX 77056
0
Disclosures
30
Years of Experience
View By:
State Registrations
B
Alabama 9/15/2020
B
New Hampshire 11/1/2024
B
California 9/4/2020
B
New Jersey 9/4/2020
B
Colorado 9/14/2020
B
New Mexico 9/4/2020
B
Delaware 9/4/2020
B
New York 9/4/2020
B
District of Columbia 8/23/2021
B
North Carolina 9/4/2020
B
Florida 9/4/2020
B
Oklahoma 4/3/2023
B
Georgia 9/23/2020
B
Pennsylvania 9/4/2020
B
Hawaii 9/21/2020
B
Puerto Rico 9/4/2020
B
Illinois 9/4/2020
B
South Carolina 4/13/2023
B
Indiana 8/30/2024
B
Tennessee 9/4/2020
B
Louisiana 9/4/2020
B
Texas 9/4/2020
B
Maine 9/4/2020
IA
Texas 9/4/2020
B
Massachusetts 9/17/2020
B
Utah 9/4/2020
B
Michigan 9/4/2020
B
Virginia 9/4/2020
B
Minnesota 9/4/2020
B
Wyoming 9/4/2020
B
Missouri 9/4/2020
SRO Registrations
B
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IA
Registered with this firm since 9/4/2020
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Registered with this firm since 9/4/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/07/2008 - 09/15/2020 | HOUSTON, TX | |
B | 11/07/2008 - 09/15/2020 | HOUSTON, TX | |
IA | 07/10/1995 - 11/14/2008 | HOUSTON, TX | |
B | 07/09/1995 - 11/14/2008 | HOUSTON, TX | |
B | 04/17/1995 - 06/20/1995 | NEW YORK, NY | |
B | 09/27/1994 - 05/03/1995 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.