Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Karl Francis is a financial advisor with over 34 years of experience in the industry. David has been registered with Morgan Stanley since February 2021. Previously, David was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Advisors, LLC. David is a Certified Financial Planner and holds the Series 7, Series 63, and Series 65 licenses. David specializes in providing financial planning, portfolio management, and asset allocation advice to individuals, businesses, and institutions.
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
WI
02/19/2021 - Present
Morgan Stanley (Mequon WI)
WI
08/31/2012 - 02/22/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MEQUON WI)
WI
05/17/2002 - 09/18/2012
WELLS FARGO ADVISORS, LLC (MEQUON WI)
NY
07/31/1993 - 05/30/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
01/01/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/21/1987 - 12/06/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
IA
Issued 05/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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