Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alvin? Claim Your ProfileAlvin Francis is a financial advisor who has been in the industry since 2001. Alvin is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Alvin also has experience with HARRIS CAPITAL CORP. and FOX-PITT,KELTON INCORPORATED. Alvin has passed Series 63, 66, 7, 9, 10, 79 and SIE exams. Alvin specializes in retirement planning, insurance, mutual funds, stocks, and bonds.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
11/05/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MELVILLE NY)
NY
11/08/2004 - 12/12/2006
HARRIS CAPITAL CORP. (NEW YORK NY)
NY
07/23/2001 - 02/04/2003
FOX-PITT,KELTON INCORPORATED (NEW YORK NY)
IL
06/28/2001 - 08/06/2001
CONNING & COMPANY (OAKBROOK TERRACE IL)
BOTH
Issued 01/25/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/30/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/19/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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