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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Francis is a financial advisor who has been in the industry since 2013. Brian is currently registered with Morgan Stanley. Brian has previously been registered with Wells Fargo Clearing Services, LLC, Investors Capital Corp., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Brian holds the Series 66, Series 24, Series 9, Series 10, SIE, and Series 7 licenses. Brian specializes in providing financial advice to individuals, businesses, high-net-worth individuals, insurance companies, and charitable organizations. Brian’s primary office is located at 8889 Pelican Bay Boulevard, Suite 300, Naples, FL 34108.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
10/17/2024 - Present
Morgan Stanley (Naples FL)
CA
12/06/2017 - 01/13/2020
MORGAN STANLEY (MENLO PARK CA)
CA
07/08/2016 - 12/15/2017
WELLS FARGO CLEARING SERVICES, LLC (PALO ALTO CA)
MA
04/01/2015 - 06/28/2016
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
MA
09/21/2012 - 08/27/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ANDOVER MA)
BOTH
Issued 11/17/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/12/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/16/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2012
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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