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Octave J. Francis III

Managing Principal/CEO & COO

Mr. Francis is Founder and Managing Principal of FFC Capital Markets. Leveraging in excess of 29 years of experience, he Chairs the dually registered entity’s Global Finance Committee and supervises all activities.

Octave was introduced to traditional investment banking in 1986 through the New Orleans office of Legg Mason/Howard Weil, where he trained in both municipal finance and institutional bond trading. In 1992, he became a first vice president at Paine Webber where he managed a diag institutional fixed income desk which provided regional coverage to public agencies, corporations and depository institutions. Finally from 1996 through early 2001, as a senior executive with Prudential Securities, Mr. Francis established and managed an institutional fee based advisory group which specialized in asset- liability performance, risk and asset management and prudent fiduciary standards.

Octave earned his Investment Management Consultants Association (IMCA) sponsored designation and license of Certified Investment Management AnalystSM (CIMA®) through the Aresty Institute of Executive Education/The Wharton School of Business, University of Pennsylvania. He is an alumnus of Tulane University’s School of Engineering, and earned his MBA in Finance from Tulane’s A.B. Freeman School of Business.

His community and civic contributions include service in volunteer roles for public benefit, non-profit and charitable organizations. In the summer of 2013, Mr. Francis was appointed to the Louis Armstrong International Airport’s governance body, the New Orleans Aviation Board; since 2002 he has served the Archdiocese of New Orleans on its Board’s Investment Sub-Committee. Since December 2011, Octave has served as a Director of New Orleans Regional Black Chamber of Commerce (NORBCC) and is its Board’s immediate past Chair; concurrently representing the NORBCC on the Business Council of New Orleans & the River Region; In September 2015, Mr. Francis/FFC Capital Markets became a Member of the Business Council of New Orleans & the River Region.

Octave resides in Orleans Parish with his wife Penny and their two daughters Casi and Camryn. 

FINRA Series: 7, 63, 65, 24, 52 and 53

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Check the background of this financial professional on FINRA's BrokerCheck.