Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frances? Claim Your ProfileFrances Goodman is a financial advisor who has been in the industry since 1985. Frances is currently registered with Wells Fargo Advisors Financial Network, LLC. Frances has also worked for Wells Fargo Clearing Services, LLC, Morgan Keegan & Company, Inc., The Robinson-Humphrey Company Inc., and Lehman Brothers Inc. Frances holds a variety of licenses and designations, including Series 3, Series 7, Series 8, Series 24, Series 63, and Series 65. Frances is also a Certified Financial Planner.
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.
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.
Investment consulting services to institutional clients
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
NC
03/03/2022 - Present
Wells Fargo Advisors Financial Network, LLC (WILMINGTON NC)
NC
05/03/2012 - 03/03/2022
WELLS FARGO CLEARING SERVICES, LLC (WILMINGTON NC)
NC
09/13/1993 - 05/07/2012
MORGAN KEEGAN & COMPANY, INC. (WILMINGTON NC)
GA
07/14/1992 - 09/24/1993
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
NY
09/26/1988 - 07/17/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/21/1985 - 06/22/1988
THE ROBINSON-HUMPHREY COMPANY INC.
IA
Issued 09/17/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2021
Series 24 - General Securities Principal Examination
BC
Issued 09/21/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/1985
Series 3 - National Commodity Futures Examination
BC
Issued 02/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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